Associate Director

4 weeks ago

Old Toronto, Canada Royal Bank of Canada Full time
h3>Associate Director - Capital Markets Compliance Advisory

Job Summary

What is the opportunity? As an Associate Director (AD), you will be part of RBC Capital Markets (CM) Compliance Advisory Team. The team is responsible for implementing and maintaining compliance programs and processes across RBC’s Global Markets businesses in Canada, within the context of RBC’s Enterprise Compliance Management Framework.

You will be providing monitoring and compliance advisory support to Fixed Income sales and trading desks. You will be responsible for providing ongoing advice to the business on the impact of regulatory and internal change, as they occur, and to provide support for day-to-day inquiries. You will be conducting monitoring activities, updating/socializing Capital Market Policies administered by the Capital Markets Advisory team.

Additionally, you will support and oversee the Regulatory Compliance Management (RCM) compliance programs in Canada (“Coverage Areas”) with respect to market and business conduct compliance. You will be working closely with other Compliance Advisory colleagues and provide back up support to the following lines of businesses: li>

Work closely with trade supervision and surveillance team to build a robust compliance program.Work closely with other regional compliance teams on any Cross Border related activities specially where there is registration requirement to perform that activity.Assist in regulatory inquiries, examinations, and reporting responses.Lead the development of compliance programs with respect to mandated lines of businesses (LOBs) including maintenance of policies and procedures.Conduct periodic monitoring reviews to ensure the covered subject businesses comply with applicable regulations and policies.Provide compliance oversight for new business initiatives.Perform impact assessment for the coverage lines of business with respect to new regulations or regulatory updates.Provide support to other colleagues as part of cross functional training in the team.

Must-have:

  1. 4+ years of related experience in a financial institution and/or regulated securities dealer/and or securities regulatory body.
  2. Strong familiarity with Global Markets businesses and asset classes.
  3. Experience in covering Fixed Income desks like Credit or Rates or Repo from compliance advisory or from front office trading supervision perspective.
  4. Knowledge of regulatory and compliance requirements (Eg. p>

    We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. A comprehensive Total Rewards Program including bonuses and flexible benefits and competitive compensation. Leaders who support your development through coaching and managing opportunities. Flexible work/life balance options. p>

    Job Skills: Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking.

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