What 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. A key part of this position involves Regulatory Compliance Management (RCM) activities.
*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 employment experience, e.g. regulatory compliance in financial institution / securities industry
-
University or post-graduate degree (Business, Finance, Law is preferred)
-
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
Nice-to-have:
- Relevant securities industry courses and/or enrolled in Chartered Financial Analyst program (or a CFA charter holder)
-
Working Knowledge of regulatory requirements as they pertain to a portfolio manager or investment fund manager
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, competitive compensation
-
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
Analytical Thinking, Audits Compliance, Compliance Policies, Critical Thinking, Decision Making, Industry Knowledge, Interpersonal Relationship Management, Investments, Portfolio Management, Regulatory Compliance, Risk Management, Strategic Thinking
Additional Job Details
RBC CENTRE, 155 WELLINGTON ST W:TORONTO
TORONTO
Canada
37.5
Full time
LAW AND COMPLIANCE
Regular
Salaried
2024-08-28
2024-09-11
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.
