Associate Director, Capital Markets Compliance Advisory

3 weeks ago

Toronto, Canada Royal Bank of Canada> Full time

Job Summary

Job Description

What is the opportunity?

As Associate Director (AD), you are responsible for Capital Markets Compliance for the Global Equity Sales and Trading, Global Equity Derivatives, and the Wealth Management Agency desks. 


As a subject matter expert in equity and equity related products, 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 equity and equity related products (Equity Derivatives and Structured Products).
  • Execute in support of the Director in the RCM responsibilities.
  • Assist in regulatory inquiries, examinations, and reporting responses.
  • Assist in the development of compliance programs with respect to equity and equity related products including maintenance of policies and procedures.
  • Conduct periodic monitoring reviews to ensure the covered subject business is in compliance 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 quarterly 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, Equity and Equity Related Products
  • Ad hoc assignments as assigned.

What do you need to succeed?

Must-have 

  • 5+ years of Capital Markets Compliance experience or equivalent experience with a Regulator.
  • Completion of the Canadian Securities Course (CSC), Traders Training Course (TTC) and Conduct and Practices Handbook (CPH) Exams.
  • Strong knowledge of CIRO Universal Market Integrity Rules (UMIR) and Rules of the Montreal Exchange is an asset.
  • University degree in business, finance, economics.
  • Strong presentation skills in a group setting.
  • Ability to work in a fast-paced environment with tight deadlines. Organize and prioritize an unpredictable workload.

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.

  • 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 senior level executives from many different parts of the organization.

Job Skills

Audits Compliance, Business, Compliance Programs, Critical Thinking, Data Gathering Analysis, Decision Making, Equity Trading Systems, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Regulatory Compliance, Regulatory Compliance Consulting, Risk Management, Strategic Thinking, Structured Products

Additional Job Details

Address:

ROYAL BANK PLAZA, 200 BAY ST: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:

2024-04-12

Application Deadline:

2024-06-06

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.

Join our Talent Community

Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.

Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.

  • Associate Director

    1 month ago

    Toronto, ON, 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...

  • Associate Director

    1 month ago

    TORONTO, Canada Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat 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...

  • Associate Director, Capital Markets Compliance Advisory

    1 month ago

    TORONTO, Canada Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat is the opportunity?As Associate Director (AD), you are responsible for Capital Markets Compliance for the Global Equity Sales and Trading, Global Equity Derivatives, and the Wealth Management Agency desks. As a subject matter expert in equity and equity related products, you will be responsible to provide compliance guidance...

  • Associate Director, Capital Markets Compliance Advisory

    3 weeks ago

    TORONTO, Canada Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat is the opportunity?As Associate Director (AD), you are responsible for Capital Markets Compliance for the Global Equity Sales and Trading, Global Equity Derivatives, and the Wealth Management Agency desks. As a subject matter expert in equity and equity related products, you will be responsible to provide compliance guidance...

  • Associate Director, Capital Markets Compliance Advisory

    1 month ago

    Toronto, Canada RBC - Royal Bank Full time

    Job SummaryJob DescriptionWhat is the opportunity?As Associate Director (AD), you are responsible for Capital Markets Compliance for the Global Equity Sales and Trading, Global Equity Derivatives, and the Wealth Management Agency desks. As a subject matter expert in equity and equity related products, you will be responsible to provide compliance guidance...

  • Principal Associate, Compliance Advisory

    3 weeks ago

    Toronto, Canada Capital One Full time

    161 Bay Street (93021), Canada, Toronto,Toronto, Ontario, Principal Associate, Compliance Advisory As a Compliance Advisor at Capital One, you’ll be part of a team that values your perspective. You’ll perform a key second line of defense role, providing advice and to effectively challenge the business unit stakeholders on ensuring business strategies,...

  • Principal Associate, Compliance Advisory

    1 hour ago

    Toronto, Canada Capital One Full time

    161 Bay Street (93021), Canada, Toronto,Toronto, Ontario, Principal Associate, Compliance Advisory As a Compliance Advisor at Capital One, you’ll be part of a team that values your perspective. You’ll perform a key second line of defense role, providing advice and to effectively challenge the business unit stakeholders on ensuring business strategies,...

  • Associate Director, Capital Markets ESG Finance Advisory

    5 days ago

    Toronto, Ontario, Canada Royal Bank of Canada> Full time

    Job SummaryJob DescriptionOpportunity OverviewThe Associate Director, Capital Markets ESG Finance Advisory plays a crucial role in the CM Performance Management team, serving as the primary Finance advisor for Capital Markets Environmental, Social, and Governance (ESG) Finance. The role involves managing reporting, planning, and analysis to support business...

  • Associate, Advisory, Capital Markets Canada

    2 weeks ago

    Toronto, Canada Colliers Full time

    Make your next move an expert one. At Colliers it’s not our success that sets us apart, it’s how we achieve it. Our people are passionate, take ownership and always do what’s right for our clients, people and communities. Why Colliers? Our enterprising environment needs your expertise to facilitate Colliers’ continued growth as an industry leader....

  • Manager, Coo Functions Advisory, Capital Markets

    3 weeks ago

    Toronto, Canada Royal Bank of Canada Full time

    **Come Work with Us!** At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose. Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work...

  • Associate Director, Internal Sales

    5 days ago

    Old Toronto, Ontario, Canada Capital Markets Advisors LLC Full time

    Associate Director, Internal Sales- Bilingual Part Time / Full Time Associate Director, Internal Sales- BilingualCMA is boutique Consultancy & Recruiting firm specializing in the Financial Services sector, we are representing a distinguished asset management firm that is seeking a talented Associate Director, Inside Sales to join their dynamic team. As the...

  • Associate Director, Internal Sales

    3 weeks ago

    Old Toronto, Canada Capital Markets Advisors LLC Full time

    Associate Director, Internal Sales- Bilingual Part Time / Full Time Associate Director, Internal Sales- BilingualCMA is boutique Consultancy & Recruiting firm specializing in the Financial Services sector, we are representing a distinguished asset management firm that is seeking a talented Associate Director, Inside Sales to join their dynamic team. As the...

  • Associate Director, Internal Sales

    3 weeks ago

    Old Toronto, Canada Capital Markets Advisors LLC Full time

    Associate Director, Internal Sales- Bilingual Part Time / Full Time Associate Director, Internal Sales- BilingualCMA is boutique Consultancy & Recruiting firm specializing in the Financial Services sector, we are representing a distinguished asset management firm that is seeking a talented Associate Director, Inside Sales to join their dynamic team. As the...

  • Associate Director, Internal Sales

    4 weeks ago

    Old Toronto, Canada Capital Markets Advisors LLC Full time

    Associate Director, Internal Sales- Bilingual Part Time / Full Time Associate Director, Internal Sales- BilingualCMA is boutique Consultancy & Recruiting firm specializing in the Financial Services sector, we are representing a distinguished asset management firm that is seeking a talented Associate Director, Inside Sales to join their dynamic team. As the...

  • Associate Director, Internal Sales

    3 weeks ago

    Old Toronto, Canada Capital Markets Advisors LLC Full time

    Associate Director, Internal Sales- Bilingual Part Time / Full Time Associate Director, Internal Sales- BilingualCMA is boutique Consultancy & Recruiting firm specializing in the Financial Services sector, we are representing a distinguished asset management firm that is seeking a talented Associate Director, Inside Sales to join their dynamic team. As the...

  • Experienced Associate, Capital Advisory

    4 weeks ago

    Toronto, Canada BDO Full time

    Putting people first, every day   BDO is a firm built on a foundation of positive relationships with our people and our clients. Each day, our professionals provide exceptional service, helping clients with advice and insight they can trust. In turn, we offer an award-winning environment that fosters a with a high priority on your personal and...

  • Experienced Associate, Capital Advisory

    3 weeks ago

    Toronto, Canada BDO Full time

    Putting people first, every day   BDO is a firm built on a foundation of positive relationships with our people and our clients. Each day, our professionals provide exceptional service, helping clients with advice and insight they can trust. In turn, we offer an award-winning environment that fosters a with a high priority on your personal and...

  • Associate Director

    2 weeks ago

    Toronto, Canada Royal Bank of Canada Full time

    **Job Summary** **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...

  • Associate director, capital markets esg finance advisory

    2 weeks ago

    Old Toronto, Canada RBC Full time

    Job SummaryJob DescriptionWhat is the opportunity?The Associate Director, Capital Markets ESG Finance Advisory is a key member of the Capital Markets (CM) Performance Management team, acting as the key Finance advisor and relationship manager for Capital Markets Environmental, Social, and Governance (ESG) Finance, responsible for management reporting,...

  • Associate Director, Capital Markets ESG Finance Advisory

    2 weeks ago

    Old Toronto, Canada Royal Bank of Canada Full time

    Job Summary Job Description What is the opportunity? The Associate Director, Capital Markets ESG Finance Advisory is a key member of the Capital Markets (CM) Performance Management team, acting as the key Finance advisor and relationship manager for Capital Markets Environmental, Social, and Governance (ESG) Finance, responsible for management reporting,...