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Associate Director, Compliance

1 month ago

Toronto, Canada Royal Bank of Canada> Full time

Job Summary

The Associate Director, Compliance is an integral member of the Compliance team and assists in the implementation, maintenance and oversight of the compliance program for RBC Investor Services in Canada (RBC IS). The individual utilizes subject matter expertise pertaining to a TLCA trust company and asset custodian to proactively identify, interpret, design and apply regulatory rules / compliance policies and procedures to complex products, services and transactions undertaken by RBC IS.

Job Description

What is the opportunity? 

The Associate Director, Compliance is an integral member of the Compliance team and assists in the implementation, maintenance and oversight of the compliance program for RBC Investor Services in Canada (RBC IS). A key part of this position involves Regulatory Compliance Management (RCM) activities of the RBC IS Compliance team, including second line of defense monitoring and testing activities, issue management and tracking, reporting and coordination.

What will you do?

  • Analyze, interpret and summarize the impact of complex regulatory rules/developments and requirements applicable to the custody (and related) products and services offered by RBC IS to funds, corporate, pension, insurance and investment counsellor services clients, and to other businesses and functions, as required

  • Assist in the creation and implementation of new or amended compliance policies and procedures

  • Assist in the review and comment on Enterprise Compliance related policies/standards/frameworks from an IS Canada perspective

  • Act as an advisor to the IS business in relation to applicable regulatory change initiatives, participating on initiative working groups as appropriate

  • Represent RBC IS Compliance on various working groups pertaining to Enterprise compliance requirements and conduct associated activities

  • Act as lead subject matter expert on topics including employee conduct related policies and procedures, regulatory inquiries, and other topics assigned by CCO.

  • Support the team’s execution of second line of defense responsibilities of RBC IS associated with the Enterprise RCM Framework including identification of IS-applicable regulatory content and conducting monitoring, risk assessments, issue management and tracking, reporting and other associated activities

  • Research potential violations of regulations, policies, and procedures and report findings

  • Develop, maintain and administer compliance training programs and guidance on emerging regulatory developments/issues

What do you need to succeed?

Must-have  

  • Regulatory Compliance / Legal / Financial / Securities industry experience

  • Excellent judgement 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 a confidence and exercise good judgement

  • 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

  • Knowledge of regulatory requirements as they pertain to a trustee or asset custodian

Nice-to-have

  • University degree in Business, Finance, Law, or equivalent.

What’s in it for you?

We thrive on the challenge to be our best, thinking progressively 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

  • 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 executives from many different parts of the organization

Job Skills

Analytical Thinking, Audits Compliance, Compliance Activities, Compliance Policies, Compliance Requirements, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Issue Management, Management Reporting, Product Services, Regulatory Compliance Management, Risk Management, Strategic Thinking

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-11-25

Application Deadline:

2024-12-09

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 embrace diversity and inclusion for innovation and growth. 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.
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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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