Compliance Advisory Associate Director

2 weeks ago

Toronto, Ontario, Canada Royal Bank of Canada> Full time

Job Summary

Job Description

What is the opportunity?
Royal Bank of Canada is seeking a highly skilled Compliance Advisory Associate Director to join its Compliance Advisory Team. As a key member of the team, you will be responsible for providing monitoring and compliance advisory support to Fixed Income sales and trading desks. You will work closely with other Compliance Advisory colleagues and provide back-up support to the Central Funding, Treasury Services, and Markets Services lines of businesses.

Key Responsibilities:

  • Support the Fixed Income Sales and Trading group on their day-to-day queries.
  • Work closely with trade supervision and surveillance teams to build a robust compliance program.
  • Assist in regulatory inquiries, examinations, and reporting responses.
  • Lead the development of compliance programs with respect to mandated lines of businesses (LOBs), including maintenance of policies and procedures.
  • Conduct periodic monitoring reviews to ensure covered subject businesses comply with applicable regulations and policies.
  • Provide compliance oversight for new business initiatives.
  • Perform impact assessments for coverage lines of business with respect to new regulations or regulatory updates.
  • Provide annual and ad-hoc trainings.

Requirements:

  • 4+ years of related experience in a financial institution and/or regulated securities dealer/and or securities regulatory body.
  • Strong familiarity with Global Markets businesses and asset classes.
  • Experience in covering Fixed Income desks like Credit or Rates or Repo from compliance advisory or from front office trading supervision perspective.
  • Knowledge of regulatory and compliance requirements (e.g., CIRO IDPC & UMIR, Montreal Exchange Rules, CSA National Instruments).
  • Strong communication and presentation skills in a group setting.
  • Ability to work in a fast-paced environment with tight deadlines.
  • University degree.

What's in it for you?

Royal Bank of Canada offers a comprehensive Total Rewards Program, including bonuses and flexible benefits, competitive compensation, and opportunities to make a difference and lasting impact. You will work in a dynamic, collaborative, progressive, and high-performing team, with leaders who support your development through coaching and managing opportunities. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

Job Skills

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

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