Regulatory Compliance Program Lead

2 weeks ago

Toronto, Ontario, Canada Royal Bank of Canada Full time

About the Opportunity

As a key member of the Compliance Shared Services team, you will directly support the Managing Director in overseeing regulatory compliance for Canada and the Caribbean. This role involves designing, implementing, and managing the Regulatory Compliance Management (RCM) program, ensuring alignment with global best practices.

What You'll Do

  • Lead the design, implementation, governance, and oversight of the RCM program for Canada, promoting best practices and serving as a subject matter expert on RCM frameworks and standards within the Capital Markets function.
  • Manage ongoing RCM activities such as annual reviews, risk assessments, self-assessments, monitoring and testing plans, regulatory rule engine updates, issue management, and inherent risk reviews.
  • Coordinate and support the RCM program across Capital Markets Canada, collaborating closely with compliance colleagues and other stakeholders (both locally and globally) to ensure a consistent approach.
  • Provide guidance on regulatory developments, CP impact assessments, RCM access, ad-hoc information requests, training programs, participation in working groups, and ongoing review of the CM RCM database for data integrity.
  • Contribute to the development and maintenance of policies, procedures, and guidelines related to RCM, ensuring compliance with applicable regulations and internal standards.

What You Bring

  • Extensive experience in regulatory compliance within the financial services industry, particularly within Capital Markets.
  • Deep understanding of relevant regulatory frameworks and requirements, including those governing capital markets activities.
  • Proven ability to design, implement, and manage comprehensive compliance programs.
  • Strong analytical and problem-solving skills, with a keen eye for detail and risk identification.
  • Excellent communication, interpersonal, and stakeholder management skills.

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