Royal Bank of Canada
Job title:
Associate Director, Compliance
Company
Royal Bank of Canada
Job description
Job SummaryJob DescriptionWhat is the opportunity?The Associate Director, Compliance is an integral part of the RBC Compliance team supporting the Compliance program of RBC Global Asset Management in Canada (RBC GAM). This team of compliance professionals provides in-depth expertise in the regulatory requirements for the following registration categories: Investment Fund Manager, Portfolio Manager, Commodity Trading Manager, and Exempt Market Dealer.As an Associate Director, Compliance, you are a lead in subject matter expert in various matters and work on the day-today development, implementation, maintenance, and oversight of the compliance program for RBC GAM. You proactively identify, interpret, design and apply securities regulations / compliance policies and procedures to complex products and transactions undertaken by RBC GAM.*This position can be based out of Toronto or Vancouver.*What will you do?
- Analyze, interpret and summarize the impact of complex regulatory rules/ developments and requirements in a timely manner
- Assist in the creation and implementation of new or amended compliance policies and procedures
- Respond to compliance inquiries and advise/train internal departments on various subject matters as may be designated by the Director, Compliance or Chief Compliance Officer
- Support the team’s execution of second line of defense RCM activities including monitoring, testing reporting, issue management and tracking
- Execute day-to-day compliance operational activities of the team and necessary tasks and reporting
- Work effectively within a team environment, cross train and provide back up to other members of the team as assigned
- Fulfill other responsibilities as assigned by the Director, Compliance or Chief Compliance Officer
What do you need to succeed?Must-have:
- 2-4 years relevant regulatory compliance experience, preferably in securities industry
- University or post-graduate degree (Business, Finance, Law is preferred)
- Knowledge of regulatory requirements including National Instruments 31-103, 81-102, 81-107.
- 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, compliance reports, and other effective communication
Nice-to-have:
- Relevant securities industry courses and/or enrolled in Chartered Financial Analyst program (or a CFA charter holder)
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
- 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 ThinkingAdditional Job DetailsAddress: RBC CENTRE, 155 WELLINGTON ST W:TORONTOCity: TORONTOCountry: CanadaWork hours/week: 37.5Employment Type: Full timePlatform: LAW AND COMPLIANCEJob Type: RegularPay Type: SalariedPosted Date: 2024-10-07Application Deadline: 2024-10-21Inclusion and Equal Opportunity EmploymentAt 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 CommunityStay 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 .
Expected salary
Location
Toronto, ON
Job date
Wed, 09 Oct 2024 01:54:45 GMT
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