Associate Director

2 weeks ago

Toronto, Canada Royal Bank of Canada> Full time

Job Summary

Job Description

What is the opportunity?

As an Associate Director (AD), you will be part of RBC Capital Markets Compliance Advisory Team. The team is responsible for implementing and maintaining, within the context of RBC’s Enterprise Compliance Management Framework, of compliance programs and controls across the Global Markets business, within RBC’s Capital Markets (CM) businesses in Canada. 

As a subject matter expert, you will be providing monitoring and compliance advisory support to Central Funding Group (CFG), Corporate Treasury, Investor Services (IS) and Treasury Services (TS) Execution desks.  Asset classes covered would be Equity, Repo & Reverse Repo, Securities Lending, Mortgage Security products, FICC (primarily OTC derivatives and FX).

You will be responsible to provide compliance guidance and expertise on regulatory requirements. Conduct monitoring, update/socialize Capital Market Policies administered by the Capital Markets Advisory team. Additionally, you will support and oversee the Regulatory Compliance Management (RCM) compliance programs in Canada (“Coverage Areas”) with respect to market and business conduct compliance.

What will you do?

  • Supporting the Director in relationship management with the CFG, Corporate Treasury, IS and TS desks.
  • Support the Director and the team in executing RCM responsibilities.
  • Assist in regulatory inquiries, examinations, and reporting responses.
  • Assist in the development of compliance programs with respect to mandated lines of businesses (LOBs) including maintenance of policies and procedures.
  • Conduct periodic monitoring reviews to ensure the covered subject businesses comply with applicable regulations and policies. 
  • Identify potential areas of risk (financial, reputational, and regulatory), make recommendations with regards to courses of action.  Execute any resulting projects as required.
  • Assist in developing quarterly trade desk reviews and the completion of periodic compliance reports.
  • In response to external (regulators) or internal audit issues develop, execute action plans dedicated to making appropriate modifications to correct the issue(s).
  • Annual and ad hoc trainings.
  • Perform back-up duties for the Director, Capital Markets Compliance, and support the team as needed.
  • Ad hoc assignments as assigned.

What do you need to succeed?

Must-have 

  • 5+ years of compliance experience in a financial institution, including a broker-dealer (ideally within a financial conglomerate) and/or Capital Markets, regulator.
  • Proficient and expertise across Global Markets businesses.
  • Completion of the Canadian Securities Course and Conduct and Practices Handbook Exam
  • Strong communication and presentation skills in a group setting
  • Ability to work in a fast-paced environment with tight deadlines.
  • University degree in business, finance, economics or other related fields.

Nice-to-have

  • Dealt with highly complex issues, projects and process.
  • Strong organizational skills.
  • Participated in relevant industry committees and events.

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
  • Flexible work/life balance options
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • Opportunities to do challenging work

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:

37.5

Employment Type:

Full time

Platform:

Law and Compliance

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-05-13

Application Deadline:

2024-05-31

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.
​​​​​​​
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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