Compliance Analyst

4 weeks ago

Toronto, Canada Royal Bank of Canada Full time

**Job Summary**

**What is the opportunity?**

As Compliance Analyst, you are accountable for the administration of RBC Enterprise personal trading policy internal control framework with respect to information barriers, personal trading and conflicts of interest. You will conduct monitoring and testing as assigned, identify potential conflicts of interest and escalate to management as required. You will also develop and maintain strong working relationships with business management in order to adequately support the business.

**What will you do?**
- Administer the policy and make recommendations to Control Room management regarding conflicts of interest arising from personal trading, outside business activities and private investments and ensure that appropriate records are maintained
- Serve as main point of contact on Business Unit Coordinator and employee enquiries regarding personal trading
- Pre-clear employee trades
- Distribute Employee Disclosure Form to RBC and RBCCM new hires/transfers; act as employee facilitator; respond to queries; follow-up with non-respondents; and escalate to management or department heads as necessary
- Assist with surveillance of personal trading as applicable under Control Room policies and procedure
- Recommend process and design enhancements within responsibilities, including leveraging new technology whenever possible
- Providing back up support for other employees within Compliance.
- Deal with IT issues regarding the control room technology system (e.g. functionality of a page, identify enhancements required, etc.)
- Field questions from RBC and RBCCM employees and unit coordinators, and assist with the maintenance of CREM data on employee profiles

**What do you need to succeed?**

**Must-have**
- 2+ years of experience in the financial services industry
- Demonstrated knowledge of applicable regulatory and internal policy requirements, and all others as applicable
- Ability to work and flourish in a fast-paced environment
- University degree or equivalent education
- Ability to work independently, managing various high priorities

**Nice-to-have**
- Securities industry related courses and qualifications are a key asset

**What’s in it for you?**

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
- Ability to make a difference and lasting impact
- Flexible work/life balance options
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work

**Job Skills**

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Interpersonal Relationship Management, Risk Management, Strategic Thinking

**Additional Job Details**

**Address**:
RBC CENTRE, 155 WELLINGTON ST W:TORONTO

**City**:
TORONTO

**Country**:
Canada

**Work hours/week**:
37.5

**Employment Type**:
Full time

**Platform**:
Law and Compliance

**Job Type**:
Regular

**Pay Type**:
Salaried

**Posted Date**:
2024-03-13

**Application Deadline**:
2024-03-28

**I**nclusion** and Equal Opportunity Employment**

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.

**Join our Talent Community**

Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.

  • Compliance Analyst

    2 weeks ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As

  • Compliance Analyst

    2 weeks ago

    Toronto, Ontario, Canada beBee Professionals Full time

    Job Title: Compliance AnalystLocation: Toronto, CanadaCompany: beBee ProfessionalsJob Description:We are looking for a Compliance Analyst to join our team at beBee Professionals in Toronto. The Compliance Analyst will be responsible for ensuring that the company is compliant with all applicable laws and regulations. The successful candidate will be expected...

  • Compliance Analyst

    2 weeks ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    2 weeks ago

    Toronto, Ontario, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    2 weeks ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    2 weeks ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    2 weeks ago

    Toronto, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • IT Compliance Analyst

    1 week ago

    Toronto, Canada nnovativ inc Full time

    **nnovativ** provides technology staffing and Digital Transformation Services for private and public sector organizations. We are currently seeking a IT Compliance Analyst for our Private Sector client. We value our professionals by providing comprehensive benefits and the opportunity for growth. This is a 12 month contract position with a possibility of...

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Pala Interactive Full time

    **Pala Interactive** is a full-service, real-money and social gaming technology provider and operator. Pala offer a full spectrum of games across all distribution channels (web, download, tablet & smartphone) which include casino, poker and bingo for real money and social gaming. **Overview** Pala Interactive is looking for a Compliance Analyst to work in...

  • Compliance Analyst

    2 weeks ago

    Toronto, ON, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    2 weeks ago

    Toronto, ON, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    2 weeks ago

    Toronto, Ontario, Ontario, Canada Insight Global Full time

    Insight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Sun Life Full time

    You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll...

  • Compliance Analyst @toronto, On

    2 weeks ago

    Toronto, Canada Atlantis IT group Full time

    **Role: Complaince Analyst** **Location: Toronto, ON** **Duration: Long term** **Description**: Organization NextGen environment is currently looking for a Compliance Analyst/Engineer for our SOC2 Certifications (Type 1 and 2) for our Service Offerings. NextGen Cloud provides a highly secure platform which provides differentiation across a Global platform...

  • Compliance Analyst/Officer

    2 months ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Compliance Analyst/Officer

    4 weeks ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Compliance Analyst

    4 weeks ago

    Toronto, Canada Amex Full time

    You Lead the Way. We’ve Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you’ll learn and grow as we help you create a...

  • Compliance Analyst, Monitoring

    2 weeks ago

    Toronto, Ontario, Canada S I Systems Full time

    Intermediate AML Analyst to conduct compliance investigations and transaction monitoring for a large banking client Our large banking client is looking for an Intermediate AML Analyst to conduct compliance investigations and transaction monitoring. Please note This role is a hybrid working model with 4 days in the office, located downtown Toronto. 3+...

  • Compliance Analyst

    3 weeks ago

    Toronto, Canada Ontario Teachers' Pension Plan Full time

    The opportunity The Compliance Department’s vision is to be a trusted partner and advisor to help Teachers’ business divisions effectively balance risk, regulatory compliance, and related best practices in accordance with Ontario Teachers’ risk tolerance and to help build a sustainable culture of compliance. The Compliance Analyst will primarily...

  • Compliance Analyst

    2 weeks ago

    Toronto, Ontario, Canada Ontario Teachers' Pension Plan Full time

    The opportunityThe Compliance Department's vision is to be a trusted partner and advisor to help Teachers' business divisions effectively balance risk, regulatory compliance, and related best practices in accordance with Ontario Teachers' risk tolerance and to help build a sustainable culture of compliance.The Compliance Analyst will primarily focus on the...