Manager, Disclosure

Job Description

What is your opportunity?

As the Manager, Trading Disclosure Compliance, you will be a key member of the Canada Control Room team, responsible for overseeing the firm’s Employee Compliance Monitoring programs with a focus on personal account dealing, employee disclosures, and monitored employee oversight. Your role plays a critical part in safeguarding the firm’s Information Barriers by ensuring that employees with access to material non-public information, confidential information, insider, or confidential information comply with all applicable trading restrictions and disclosure requirements. You will also serve in an advisory capacity, providing expert guidance to employees, business leaders, and other stakeholders on compliance obligation, personal trading restrictions, and information barrier protocols.

What will you do?

- Oversee the day-to-day operations of the Employee Disclosure and Personal Trading Monitoring program within the Control Room, ensuring timely and accurate processing of all disclosures, account dealing

- Provide real-time support for trade preclearance request

- Review daily and monthly trade reports, outside business activities and private investment request to identify and escalate potential conflict of interest or compliance concerns

- Manage escalation review, investigate potential breaches, and determine appropriate follow-up actions in consultation with senior compliance management team

- Provide advisory support to employees and business units regarding personal trading rules, disclosure requirements, and information barrier protocols, ensuring clarify and consistency in guidance

- Participate in a rotation to provide coverage for the Control Room Compliance Hotline during business hours, ensuring timely and professional responses to inquiries

- Ensure compliance for employees classified as “monitored” due to access to material non-public information, confidential information, inside information, upholding strict adherence to the firm’s information barrier program

- Proactively identify potential compliance issues and trends within monitoring data, raising concerns to senior management

What do you need to succeed?

- Experience conducting Compliance surveillance reviews and/or developing and implementing Compliance policies and procedures.

- Ability to work and flourish in a fast-paced environment

- Ability to work independently, managing various high priorities

- Experience in the securities regulatory environment

- Strong verbal and written communication skills

- Advanced Excel user

- University degree in business, finance, economics or other related discipline combined with 3+ years of progressive Compliance or related experience.

Nice to have

- Data analysis experience

- Securities industry related courses

What’s in it for you?

We thrive on the challenge to be our best, thinking progressively 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

- Leaders who support your development through coaching and managing opportunities

- Ability to make a difference and lasting impact

- Work in an agile, collaborative, progressive, and high-performing team

- The opportunity to interface with executives from many different parts of the organization

Job Skills

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:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-12-23

Application Deadline:

2026-01-17

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.