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Associate Director, Compliance
1 month ago
**Job Summary**
**What is the opportunity?**
The Associate Director, Compliance is an integral part of the RBC Compliance team supporting the Compliance program of RBC Global Asset Management in Canada (RBC GAM). This team of compliance professionals provides in-depth expertise in the regulatory requirements for the following registration categories: Investment Fund Manager, Portfolio Manager, Commodity Trading Manager, and Exempt Market Dealer.
**This position can be based out of Toronto or Vancouver.**
**What will you do?**
- Analyze, interpret and summarize the impact of complex regulatory rules/ developments and requirements in a timely manner
- Assist in the creation and implementation of new or amended compliance policies and procedures
- Support the team’s execution of second line of defense RCM activities including monitoring, testing reporting, issue management and tracking
- Execute day-to-day compliance operational activities of the team and necessary tasks and reporting
- Work effectively within a team environment, cross train and provide back up to other members of the team as assigned
- Fulfill other responsibilities as assigned by the Director, Compliance or Chief Compliance Officer
**What do you need to succeed?**
**Must-have**:
- 2-4 years relevant regulatory compliance experience, preferably in securities industry
- University or post-graduate degree (Business, Finance, Law is preferred)
- Knowledge of regulatory requirements including National Instruments 31-103, 81-102, 81-107.
- Excellent judgement and analytical skills - problem solving, curiosity, ability to simplify, desire to learn and grow
- Accuracy in work output, attention to detail and accuracy are essential
- Effective organization skills, including the ability to prioritize between tasks and deadlines
- Ethical, able to maintain a confidence and exercise good judgement
- Professional and able to work collaboratively with others
- Experience in writing policies, procedures, compliance reports, and other effective communication
**Nice-to-have**:
- Relevant securities industry courses and/or enrolled in Chartered Financial Analyst program (or a CFA charter holder)
**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
- 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, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, 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**:
2024-10-07
**Application Deadline**:
2024-10-21
**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.
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