Associate Director, Compliance Oversight

4 weeks ago

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

Join Royal Bank of Canada as an Associate Director, Compliance Monitoring, and take on a key role in upholding the highest standards of regulatory compliance and safeguarding the integrity of our wealth management operations.

Key Responsibilities
  • Champion a compliance awareness culture throughout the business
  • Develop and maintain the Compliance Oversight Plan, including continuous improvements, enhancements, and efficiencies
  • Design, evaluate, oversee, and assess new and existing compliance monitoring tasks to ensure they meet current and new regulations with minimal supervision
  • Maintain knowledge on industry developments, regulatory changes, company policies, and procedures to effectively discharge the role
  • Undertake investigations, assessments, and reviews as required or requested
  • Provide regular reports and MI on operational activity of the team, findings, trends, and any regulatory issues
  • Escalate and report any concerns identified to the Head of Compliance Monitoring and/or Head of Compliance Oversight, where possible providing plans/recommendations to mitigate risks/issues
  • Liaise with and provide assistance to Group Internal Audit, Project Managers, and other parts of Risk and Compliance in matters relevant to Compliance Monitoring which affect Brewin Dolphin's business activities
  • Deputize for Head of Compliance Monitoring as appropriate, including attending and actively participating in certain governance committees
  • Support the line manager and the Head of Compliance in strategic initiatives as directed
  • Support efficient allocation and where required manage the allocation of resource within the team to ensure that the plan is covered
Requirements
  • Extensive prior relevant industry experience in, for example, Compliance, Risk, or Audit
  • Strong understanding of regulatory requirements and compliance monitoring practices
  • Excellent analytical and conceptual thinking skills to identify and respond to trends
  • Strong communication and collaboration skills, with experience in interacting with senior management, control functions, and regulators
  • Excellent problem-solving skills and consistently displays evidence of lateral thinking when solving problems
  • Ability to make sound decisions based on internal and external factors and manage risk effectively
  • Excellent planning, organisational skills, and attention to detail
What We Offer
  • A comprehensive Total Rewards Program including bonuses, flexible benefits, and competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Opportunities to work with the best in the field
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • A world-class training program in financial services
  • Flexible working options fully supported

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