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Associate Director, Compliance Specialist

2 months ago

Toronto, Ontario, Canada RBC - Royal Bank Full time

Job Summary

Job Description

What is the Opportunity?

The Compliance Program Lead is a key member of the RBC Compliance team, supporting the Compliance program of RBC Global Asset Management in Canada (RBC GAM). This team of compliance professionals provides in-depth expertise in regulatory requirements for various registration categories, including Investment Fund Manager, Portfolio Manager, Commodity Trading Manager, and Exempt Market Dealer.

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

Key Responsibilities

  • Analyze, interpret, and summarize the impact of complex regulatory rules and developments 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 designated by the Director, Compliance or Chief Compliance Officer
  • Support the team's execution of second-line 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 of relevant employment experience, e.g., regulatory compliance in a financial institution or 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 confidentiality, 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 is an asset

Nice-to-have:

  • Relevant securities industry courses and/or enrolled in the 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

Job Type:

Full-time

Pay Type:

Salaried

Platform:

LAW AND COMPLIANCE

Job Category:

Compliance