Regulatory Compliance Manager, Financial Services

1 month ago

Toronto, Ontario, Canada Royal Bank of Canada Full time
Job Summary

We are seeking a highly skilled Associate Director to join our Compliance Shared Services team at Royal Bank of Canada. As an integral member of our team, you will support the Managing Director, Compliance Shared Services for Canada and the Caribbean, and be responsible for assisting with the design, implementation, and ongoing administration of the Regulatory Compliance Management (RCM) Program.

Key Responsibilities
  • Participate in the overall design, implementation, governance, and oversight of the RCM regional program in Canada, promoting best practices and acting as a Centre of Expertise on the Regulatory Compliance Management Framework and other RBC Enterprise standards.
  • Manage and promote best practices, while acting as a Centre of Expertise on the Regulatory Compliance Management Framework and other RBC Enterprise standards.
  • Responsible for the ongoing management of RCM activity, including Annual RCM Universe Review, Rolling risk assessment support, RCM Self-Assessment, Monitoring and Testing annual planning and ongoing oversight Regulatory rule engine feed, Issues management, and the Baseline inherent risk review.
  • Provide support and coordination for the RCM program across CM Canada, liaising closely with Compliance colleagues and other functions/1LOD partners where applicable (both locally and globally) to ensure a consistent RCM approach.
  • Additional general support includes guidance on Reg development/CP impact, RCM access, ad-hoc information requests, RegComp and Calma training, participation in various working groups, and ongoing review of CM RCM database for underlying data integrity.
  • Provide support and coordination for RCM reporting, working with the Compliance Reporting, Data Analytics & Innovation team to ensure a consistent view of all RCM activity, including RCM exception reports.
  • Contribute to the enhancement of the global RCM program, methodology, governance model, and technology through close interaction with the Enterprise RCM team, including ongoing work on the identification and documentation of key regulatory compliance risks, associated 1LOD/2LOD controls, and/or monitoring & testing activities and accuracy of RCM data.
  • Participate in a global compliance community promoting global best practices, while ensuring a consistent understanding and implementation of standards for regulatory exams, regulatory change management, QAR, and other common program elements.
  • Other duties as assigned.
Requirements
  • 7-10 years of relevant experience
  • Post-secondary education or equivalent
  • Direct compliance or risk experience supporting a Capital Markets/institutional business (sales and trading, corporate and investment banking)
  • Working knowledge of and previous experience with Compliance Governance, Regulatory Compliance Management/OSFI E-13, and securities/regulatory environment
  • Generalist across multiple compliance subject areas
  • Strong knowledge of industry best practices relating to Compliance (regionally and globally)
  • Experience and ability to deal with senior executives
  • Ability to influence others and build strong working relationships, and drive consensus across multiple stakeholders
  • Excellent written and verbal communication skills
Preferred Qualifications
  • Ability to act independently and manage uncertainty
  • Strong collaboration across regions/cultures
  • Comfort organizing and interpreting large data sets, while identifying key areas of focus
What We Offer

We offer a dynamic and inclusive work environment, where you will have the opportunity to work with a talented team of professionals who are passionate about delivering exceptional results. As a member of our team, you will have access to a range of benefits, including:

  • 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 senior-level executives from many different parts of the organization
Job Skills

We are looking for individuals with strong skills in:

  • 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

We are an equal opportunities employer and welcome applications from diverse candidates. If you are a motivated and experienced professional looking for a new challenge, please submit your application.

  • Insurance Regulatory Manager

    6 days ago

    Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full time

    About the RoleThis position is accountable for managing the strategic development, implementation, and ongoing management of the auto insurance accreditation assessment framework, including associated tools and processes and supervisory manual.Main ResponsibilitiesManages the delivery of Auto Insurance Accreditation Program and Risk Assessment programs or...

  • Regulatory Expert

    2 weeks ago

    Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full time

    Senior Technical Lead Role Overview:Financial Services Regulatory Authority of Ontario (FSRA) is seeking a highly skilled Senior Technical Lead to join its team. This is a fantastic opportunity for a dedicated and experienced professional to leverage their expertise in regulatory compliance and risk analysis.Key Responsibilities:Regulatory Expertise: Provide...

  • Chief Executive Officer

    2 months ago

    Old Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario... Full time

    Job Title: Chief Executive OfficerJob Summary:The Chief Executive Officer (CEO) is responsible for leading the Financial Services Regulatory Authority (FSRA) in achieving its mission to ensure financial safety, fairness, and choice for Ontarians. The CEO will oversee the management and administration of the Authority, supervise employees, and carry out roles...

  • Chief Executive Officer

    2 months ago

    Old Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario... Full time

    Job Title: Chief Executive OfficerJob Summary:The Chief Executive Officer (CEO) is responsible for leading the Financial Services Regulatory Authority (FSRA) in achieving its mission to ensure financial safety, fairness, and choice for Ontarians. The CEO will oversee the management and administration of the Authority, supervise employees, and carry out roles...

  • Financial Services Regulatory Attorney

    3 weeks ago

    Toronto, Ontario, Canada Definity Financial Full time

    Job Opportunity at Definity FinancialWe are seeking an experienced lawyer to join our Insurance Operations and Compliance Legal Team. In this role, you will provide legal advice to our insurance business and the compliance function across Canada.Key Responsibilities:Provide legal advice to our insurance business and the compliance functionSupport the...

  • Compliance Director

    4 weeks ago

    Old Toronto, Ontario, Canada Momentum Financial Services Group Full time

    Job Title: Director, ComplianceMomentum Financial Services Group is a leading provider of financial services in North America. We are seeking a highly skilled Director, Compliance to join our team.Job SummaryWe are looking for a seasoned compliance professional to lead our regulatory compliance management program. The successful candidate will be responsible...

  • Compliance Director

    4 weeks ago

    Old Toronto, Ontario, Canada Momentum Financial Services Group Full time

    Job Title: Director, ComplianceMomentum Financial Services Group is a leading provider of financial services in North America. We are seeking a highly skilled Director, Compliance to join our team.Job SummaryWe are looking for a seasoned compliance professional to lead our regulatory compliance management program. The successful candidate will be responsible...

  • Compliance Director

    4 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceMomentum Financial Services Group_new is seeking a seasoned professional to lead our compliance efforts. As a key member of our Legal Group, the Director of Compliance will be responsible for developing and implementing regulatory compliance strategies to ensure our organization's adherence to industry standards.Key...

  • Compliance Director

    4 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceMomentum Financial Services Group_new is seeking a seasoned professional to lead our compliance efforts. As a key member of our Legal Group, the Director of Compliance will be responsible for developing and implementing regulatory compliance strategies to ensure our organization's adherence to industry standards.Key...

  • Compliance Director

    3 weeks ago

    Old Toronto, Ontario, Canada Momentum Financial Services Group Full time

    Job Title: Director, ComplianceMomentum Financial Services Group is a leading provider of financial services in North America. We are seeking a highly skilled Director, Compliance to join our team.Job SummaryWe are looking for a seasoned compliance professional to develop, implement, and maintain our regulatory compliance management program. The successful...

  • Compliance Director

    2 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceJob Summary:Momentum Financial Services Group_new is seeking a highly skilled Director of Compliance to join our team. As a key member of our Legal Group, you will be responsible for implementing and maintaining our regulatory compliance management program.Key Responsibilities:Develop and implement policies and procedures to...

  • Compliance Director

    2 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Compliance DirectorJob Summary:Momentum Financial Services Group_new is seeking a Compliance Director to implement regulatory compliance within our organization. This role will be part of our Legal Group and will be responsible for developing, enhancing, implementing, and maintaining key areas of the regulatory compliance management program,...

  • Regulatory Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Definity Full time

    Job Title: Regulatory and Financial Audit SpecialistThe Regulatory and Financial Audit Specialist plays a critical role in ensuring the effectiveness of Definity's compliance function by assessing and supporting the ongoing development of various compliance activities, including Regulatory Compliance Management, Policy Management, and Internal Controls Over...

  • Regulatory Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Definity Full time

    Job Title: Regulatory and Financial Audit SpecialistThe Regulatory and Financial Audit Specialist plays a critical role in ensuring the effectiveness of Definity's compliance function by assessing and supporting the ongoing development of various compliance activities, including Regulatory Compliance Management, Policy Management, and Internal Controls Over...

  • Compliance Director

    9 hours ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    Job Title: Director of ComplianceJob Summary:Momentum Financial Services Group_new is seeking a highly skilled Director of Compliance to join our team. As a Compliance Director, you will be responsible for implementing regulatory compliance within our organization. This role will be part of our Legal Group at Momentum Financial Services Group. The successful...

  • Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada CI Financial Full time

    At CI Financial, we strive to create a work environment that fosters growth, innovation, and collaboration. We are seeking a Compliance Officer to join our team, responsible for conducting compliance tasks in accordance with internal procedures and regulatory requirements.Key Responsibilities:Approve pre-clearance requests from registrants.Onboard new...

  • Compliance Director

    3 weeks ago

    Old Toronto, Ontario, Canada Momentum Financial Services Group Full time

    Job Title: Director, ComplianceMomentum Financial Services Group is a leading provider of financial services in North America. We are seeking a highly skilled and experienced Director, Compliance to join our team.Job SummaryThe successful candidate will be responsible for developing, implementing, and maintaining key areas of the regulatory compliance...

  • Compliance Director

    4 weeks ago

    Old Toronto, Ontario, Canada Momentum Financial Services Group Full time

    Job Title: Director, ComplianceMomentum Financial Services Group is a leading provider of financial services in North America. We are seeking a highly skilled and experienced Director, Compliance to join our team.Job SummaryThe successful candidate will be responsible for developing, implementing, and maintaining key areas of the regulatory compliance...

  • Compliance Director

    2 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    We are seeking a highly skilled Compliance Director to join our team at Momentum Financial Services Group. This role will be part of our Legal Group and will be responsible for developing, enhancing, implementing, and maintaining key areas of the regulatory compliance management program.The successful candidate will partner with various business stakeholders...

  • Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada CI Financial Full time

    At CI Financial, we foster a culture of innovation and growth, where employees are empowered to take ownership of meaningful work and contribute to the company's success.Job OverviewWe are seeking a Compliance Officer to join our Compliance team. In this role, the successful candidate will be responsible for conducting compliance tasks in accordance with...