Associate Director

Overview We are seeking a dynamic and experienced Associate Director, Regulatory Compliance – Listed Derivatives, Montreal Exchange to join our team. In this critical role, you will provide expert regulatory advice and compliance support for sales and trading activities on the Montreal Exchange (MX). You will play a key role in ensuring adherence to applicable regulatory requirements and enhancing RBC’s commitment to compliance excellence and operational integrity. What will you do? Regulatory Advisory Expertise: serve as a trusted advisor on regulatory requirements related to the Montreal Exchange, including but not limited to market conduct, trading rules, and position limits, providing expert compliance support to sales and trading teams and other business segments as needed. Leadership in Special Projects: lead and execute special projects as assigned by the reporting manager or Chief Compliance Officer (CCO), driving strategic initiatives to enhance compliance practices. Regulatory Change Management: monitor and implement regulatory changes affecting MX trading activities, ensuring the business is prepared for and compliant with evolving requirements. Policy Development and Enhancement: develop, initiate, and revise policies and procedures to support compliant trading operations on the Montreal Exchange, ensuring alignment with regulatory expectations. Compliance Monitoring and Guidance: monitor compliance and ethics initiatives within the business unit, providing proactive guidance and strategic advice to the management team and business partners on compliance-related matters. Risk Identification and Mitigation: identify potential compliance risks related to MX trading activities, develop corrective action plans, and provide forward-looking guidance to mitigate future risks. Regulatory and Industry Engagement: act as a key liaison with the Montreal Exchange and other regulatory bodies, managing inquiries, audits, and other interactions to ensure transparency and compliance. Actively participate in industry and internal working groups where appropriate. Regulatory Compliance Management (RCM): oversight of the Capital Markets MX RCM program in collaboration with first line of defense partners. Investigation Oversight: respond to alleged violations of rules, regulations, policies, and procedures by evaluating concerns and recommending or initiating investigative procedures. General Compliance: provide guidance and advice on general Capital Markets and RBC enterprise compliance policies. What do you need to succeed? Educational Background: Bachelor’s degree in Law, Finance, Business Administration, or a related field; advanced degrees (e.g., JD, MBA) or relevant professional certifications (e.g., CFA) are considered an asset. Completion of Derivatives (Futures and Options) licensing courses preferred. Industry Experience: Minimum of 7-10 years of experience in compliance, legal, or regulatory roles within Capital Markets. Regulatory Expertise: In-depth knowledge of Montreal Exchange rules and related trading regulations, including market conduct, off-exchange trading procedures, client and order identification, and position limit reporting requirements. Proven ability to interpret and apply complex regulatory frameworks. Communication Skills: Excellent written and verbal communication skills, with the ability to articulate complex regulatory concepts to senior management and business stakeholders. Attention to Detail: High level of accuracy and attention to detail in assessing compliance risks and monitoring regulatory adherence. Relationship Management: Strong interpersonal skills to build collaborative relationships with internal teams, regulators, and external stakeholders. Adaptability: Ability to thrive in a fast-paced, dynamic environment and manage multiple priorities effectively. Technical Proficiency: Familiarity with compliance monitoring tools, trade reporting systems, and relevant technology platforms is an 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 and competitive compensation Leaders who support your development through coaching and managing opportunities Ability to make a difference and lasting impact Work in a dynamic, collaborative, progressive, and high-performing team Opportunities to do challenging work Compétences professionnelles Analyse de collecte de données Audit de conformité Connaissances dans l\'industrie Gestion des relations interpersonnelles Gestion du risque Pensée critique Prise de décision Réflexion stratégique Règlement financier Services produits Détails supplémentaires de l’emploi Adresse : RBC CENTRE, 155 WELLINGTON ST W:TORONTO Ville : Toronto Pays : Canada Nombre d’heures de travail par semaine : 37.5 Type d’emploi : temps plein Secteur d’activité : BUREAU, CHEF DES SERVICES JURIDIQUES ET CHEF DE L’ADMINISTRATION Type de fonction : Régulier Type d’échelle salariale : Salarié Date d’affichage : Date limite des candidatures : Remarque : Les demandes seront acceptées jusqu'à 23 h 59 le jour précédant la date limite de présentation des demandes ci-dessus Inclusion et équité en matière d’emploi À RBC, nous pensons qu’un milieu de travail inclusif offrant des points de vue diversifiés est essentiel à notre croissance continue. Pour cela, nous mettons en place des politiques et des programmes visant à favoriser un milieu de travail fondé sur le respect et l’appartenance et offrant des occasions pour tous. Joignez-vous à notre communauté de talents Tenez-vous au courant des perspectives de carrière offertes à RBC. Inscrivez-vous et recevez des renseignements sur les plus récentes offres d’emploi et les activités de recrutement qui vous intéressent, de même que des conseils en matière de gestion de carrière. Repoussez vos limites et bâtissez un nouvel avenir à RBC. Découvrez comment nous mettons notre passion et notre motivation au service du bien-être des clients et des collectivités à jobs.rbc.com. RBC invite actuellement les candidats à soumettre leur candidature pour pourvoir ce poste vacant. En postulant à cette offre d’emploi, vous manifestez votre intention de poursuivre votre carrière à RBC en saisissant cette occasion. Les candidats qualifiés pourraient être convoqués pour que leur curriculum vitae soit examiné de plus près. #J-18808-Ljbffr