Compliance Director
4 weeks ago
What is the Opportunity?
The Director, Compliance is a senior member of the Compliance team that supports RBC Global Asset Management (RBC GAM) in Canada, and assists in the management of the team, leading the team's compliance operations, including ensuring the team is able to execute its strategic objectives and initiatives, deliver its ongoing responsibilities and fulfill its reporting obligations. The team's compliance activities pertaining to head office/employee conduct compliance for RBC GAM are also part of this role's mandate, including ongoing surveillance/oversight activities with respect to personal trading, outside activities, gifts and entertainment, conflicts management, regulatory compliance management, and second line of defense monitoring and testing. The position reports directly into the Chief Compliance Officer (CCO), RBC GAM Canada.
Key Responsibilities- Assist the CCO in the day-to-day management of Compliance team members based in Toronto and Vancouver, including coaching, training, work output quality assurance and oversight of direct and indirect reports.
- Support the CCO on implementing the strategic objectives of the team and lead /complete key team initiatives and projects, assess and enhance operational efficiency, and deliver on the team's ongoing responsibilities and reporting obligations.
- Lead the team's compliance activities supporting RBC GAM that include Head office/employee conduct compliance, including ongoing surveillance/oversight activities (personal trading, outside activities, and gifts and entertainment), registrations and compliance training. Incident/error review process, complaint handling, conflicts management and activities that require liaising with central /Enterprise Compliance and other functional groups.
- Provide input on proposed or new regulatory initiatives, participate in internal / external working groups and committees, and advise the business on considerations of such new regulatory initiatives on their activities.
- Develop key partnerships and foster collaborative and effective relationships with RBC Law Group, other Compliance/Functional groups within RBC, and business leaders.
- Actively participate in assessment and implementation of key regulatory initiatives / guidance and enterprise Compliance initiatives.
- Assist the CCO in executing the second line of defense responsibilities of RBC GAM associated with the Enterprise Regulatory and Compliance Management Framework.
- Years of relevant employment experience
- University Degree in Business, Finance, Law or professional designation
- Relevant experience in developing and operationalizing a compliance program for a large, complex securities registrant, preferably an investment fund manager and/or asset manager.
- Managerial excellence – experience in Compliance management for a financial institution, preferrable for an asset manager or investment fund manager with a track record of leading complex projects / initiatives, team operations, and people management.
- Strong organizational skills – ability to meet deadlines consistently, manage multiple tasks/pivot, keen attention to detail.
- Experience in developing policies, reports, and analysis documents/presentations for various audiences.
- Sound working knowledge of the securities industry and regulatory requirements as they pertain to portfolio manager, investment fund manager and exempt market dealer.
- Completed securities industry courses an asset.
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, competitive compensation, commissions, and stock where applicable
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Flexible work/life balance options
Asset Management, Audits Compliance, Compliance Frameworks, Critical Thinking, Decision Making, Industry Knowledge, Internal Compliance, Interpersonal Relationship Management, Investment Funds, Mutual Funds, Regulatory Requirements, Taking Initiative, Work Management
Additional Job DetailsAddress: 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:
Application Deadline:
Inclusion 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.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities
-
Executive Director Position
3 weeks ago
Old Toronto, Ontario, Canada Director File Full timeExecutive Director OpportunityWe are seeking a visionary leader to co-lead Canada's largest professional theatre for young audiences. As Executive Director, you will be responsible for collaborating with the Artistic Director to inspire and promote a collaborative theatre spirit amongst staff, volunteers, and the artistic community.Key...
-
Compliance Director
4 weeks ago
Toronto, Ontario, Canada Momentum Financial Services Group_new Full timeJob 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 timeJob 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
2 weeks ago
Toronto, Ontario, Canada Momentum Financial Services Group_new Full timeJob 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
1 month ago
Toronto, Ontario, Canada Aviso Wealth Full timeAbout the RoleAviso Wealth is seeking a highly skilled and experienced Compliance Director to join our Asset Management team. As a key member of our leadership team, you will be responsible for overseeing compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA.Key ResponsibilitiesDevelop...
-
Compliance Director
1 month ago
Toronto, Ontario, Canada Aviso Wealth Full timeAbout the RoleAviso Wealth is seeking a highly skilled and experienced Compliance Director to join our Asset Management team. As a key member of our leadership team, you will be responsible for overseeing compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA.Key ResponsibilitiesDevelop...
-
Compliance Director
9 hours ago
Toronto, Ontario, Canada Momentum Financial Services Group_new Full timeJob 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 Director
4 weeks ago
Old Toronto, Ontario, Canada Momentum Financial Services Group Full timeJob 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 timeJob 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
2 weeks ago
Toronto, Ontario, Canada Aviso Wealth Full timeAviso Wealth is a leading wealth management and investment services provider for the Canadian financial industry. We're seeking a highly skilled Director, Chief Compliance Officer, NEI to join our Asset Management team.The ideal candidate will have a strong background in compliance and risk management, with a proven track record of ensuring regulatory...
-
Compliance Director
2 weeks ago
Toronto, Ontario, Canada Royal Bank of Canada Full timeJob Title: Compliance DirectorJob Summary:We are seeking a highly skilled Compliance Director to join our team at Royal Bank of Canada. As a key member of our Compliance and Risk Management department, you will be responsible for overseeing the development and implementation of compliance operations across the organization.Key Responsibilities:* Develop and...
-
Compliance Director
4 weeks ago
Toronto, Ontario, Canada Aviso Wealth Full timeAbout the RoleAviso Wealth is seeking a highly skilled and experienced Compliance Director to join our Asset Management team. As a key member of our leadership team, you will be responsible for overseeing compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA.Key ResponsibilitiesDevelop...
-
Compliance Director
4 weeks ago
Toronto, Ontario, Canada Aviso Wealth Full timeAbout the RoleAviso Wealth is seeking a highly skilled and experienced Compliance Director to join our Asset Management team. As a key member of our leadership team, you will be responsible for overseeing compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA.Key ResponsibilitiesDevelop...
-
Compliance Director
2 weeks ago
Toronto, Ontario, Canada Momentum Financial Services Group_new Full timeJob Title: Director of ComplianceJob Summary:Momentum Financial Services Group_new is seeking a highly skilled Director of Compliance to join our Legal Group. As a key member of our team, you will be responsible for developing, implementing, and maintaining our regulatory compliance management program. This includes consumer protection and privacy...
-
Compliance Director
3 weeks ago
Old Toronto, Ontario, Canada Momentum Financial Services Group Full timeJob 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 timeJob 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 timeJob 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,...
-
Compliance Director
4 weeks ago
Toronto, Ontario, Canada Momentum Financial Services Group_new Full timeJob Title: Director of ComplianceMomentum Financial Services Group_new is seeking a seasoned professional to join our Legal Group as a Director of Compliance. This role will be responsible for developing and implementing key areas of the regulatory compliance management program, including consumer protection and privacy.Key Responsibilities:Develop and...
-
Compliance Director
4 weeks ago
Toronto, Ontario, Canada Momentum Financial Services Group_new Full timeJob Title: Director of ComplianceMomentum Financial Services Group_new is seeking a seasoned professional to join our Legal Group as a Director of Compliance. This role will be responsible for developing and implementing key areas of the regulatory compliance management program, including consumer protection and privacy.Key Responsibilities:Develop and...
-
Compliance Director
1 month ago
Toronto, Ontario, Canada Momentum Financial Services Group_new Full timeJob Title: Director of ComplianceMomentum Financial Services Group_new is seeking a seasoned professional to join our Legal Group as a Director of Compliance. This role will be responsible for developing and implementing key areas of the regulatory compliance management program, including consumer protection and privacy.Key Responsibilities:Develop and...
