Associate Director, Deal Management, Canadian Control Room

Job Description

What is the opportunity? 

As Associate Director, you responsible and acting as a  key Relationship Manager and Compliance advisor for all private-side business units within RBC Capital Markets (Canada) and escalation of conflicts arising from Global Research.  Assisting with conflict identification process for the global Corporate and Investment Banking businesses. 

What will you do?

• Responsible for the day-to-day relationship management and deal status update on Investment Banking, Corporate Banking, Debt Capital Markets, and Equity Capital Markets mandates. Responsible for timely additions and removals to the Bank's and its affiliates watch and restricted lists;

• Quality assurance of all aspect of deal management program (M&T, Deal addition and updates , watch and restricted list management etc. )

• Assist when needed with the administration of the conflicts identification policy and process;

• Analyzing escalated communications, determining if employees are adhering to policies and regulations, and reporting to Management accordingly;

• Maintaining associated policies and procedures up to date.

• Assist the team with all the e-comm escalations in respect to deal management team.

• Assisting in the day-to-day management of the Global Investment Banking Conflict Identification procedures designed to address potential issues arising from the firm making commitments to one or more clients on mandates that might result in a real or perceived conflict between clients, the RBC Group or its employees;

• Coordinating with the Global Conflicts Officer and the Business Heads to ensure smooth operation of the Conflict Program.

• Reviewing and approving or escalating research reports to identify breaches of internal information barriers and / or inappropriate dissemination of inside or confidential information

• Responsible for the day-to-day management and ongoing enhancements to the compliance program supporting the administration of Control Room policies and procedures for both Capital Markets and RBC-Enterprise including, but not limited to, the following:

• Responding to Compliance-related audit issues involving supported business segments;

• Reporting any Compliance-related issues to the Director, Control Room, senior management and the Chief Compliance Officer, Capital Markets Compliance (Canada), as appropriate;

• Assisting with conflict monitoring, testing and associated activities for trading and communications surveillance conducted by the Canadian Control Room;

• Collaborating with regional Compliance colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers.

What do you need to succeed?

Must have

• University degree or equivalent education

• 5+ years of compliance experience

• Experience managing compliance information barriers program

• University degree or equivalent education

• Ability to work independently, managing various high priorities  

• People management experience is an asset

Nice to have

• Securities industry related courses and qualifications are a key asset

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, commissions.

• Ability to make a difference and lasting impact.

• Work in a dynamic, collaborative, progressive, and high-performing team

Job Skills

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

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

Application Deadline:

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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