Compliance Director

5 days ago

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

Job Summary

Job Description

What is the opportunity?

The Compliance Director is a key member of the Royal Bank of Canada's Compliance team, supporting the development and implementation of the bank's compliance program. This team of compliance professionals provides expertise in regulatory requirements for various registration categories, including Investment Fund Manager, Portfolio Manager, Commodity Trading Manager, and Exempt Market Dealer.

As a Compliance Director, you will be a lead subject matter expert in various matters and work on the day-to-day development, implementation, maintenance, and oversight of the compliance program. You will proactively identify, interpret, design, and apply securities regulations/compliance policies and procedures to complex products and transactions undertaken by the bank. A key part of this position involves Regulatory Compliance Management (RCM) activities.

Key Responsibilities

  • Analyze, interpret, and summarize the impact of complex regulatory rules/developments and requirements in a timely manner
  • Assist in the creation and implementation of new or amended compliance policies and procedures
  • Respond to compliance inquiries and advise/train internal departments on various subject matters as may be designated by the Director, Compliance or Chief Compliance Officer
  • Support the team's execution of second line of defense RCM activities, including monitoring, testing, reporting, issue management, and tracking
  • Execute day-to-day compliance operational activities of the team and necessary tasks and reporting
  • Work effectively within a team environment, cross-train, and provide backup to other members of the team as assigned
  • Fulfill other responsibilities as assigned by the Director, Compliance or Chief Compliance Officer

Requirements

Must-have:

  • 2-4 years relevant employment experience, e.g. regulatory compliance in a financial institution/securities industry
  • University or post-graduate degree (Business, Finance, Law is preferred)
  • Excellent judgment and analytical skills - problem-solving, curiosity, ability to simplify, desire to learn and grow
  • Accuracy in work output, attention to detail, and accuracy are essential
  • Effective organization skills, including the ability to prioritize between tasks and deadlines
  • Ethical, able to maintain confidence, and exercise good judgment
  • Professional and able to work collaboratively with others
  • Experience in writing policies, procedures, reports, and other effective communication
  • Prior experience in compliance monitoring/testing activities, an asset

Nice-to-have:

  • Relevant securities industry courses and/or enrolled in Chartered Financial Analyst program (or a CFA charter holder)
  • Working knowledge of regulatory requirements as they pertain to a portfolio manager or investment fund manager

What's in it for you?

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
  • 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: Analytical Thinking, Audits Compliance, Compliance Policies, Critical Thinking, Decision Making, Industry Knowledge, Interpersonal Relationship Management, Investments, Portfolio Management, Regulatory Compliance, Risk Management, Strategic Thinking

Additional Job Details

This role is a full-time position with a competitive salary and benefits package. The ideal candidate will have a strong understanding of regulatory compliance and a passion for delivering high-quality results in a fast-paced environment.

Inclusion and Equal Opportunity Employment

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.

We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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