Associate Director, Compliance

Associate Director, Compliance

Job Summary

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 subject matter expert in various matters and work on the day-to-day 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 backup 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 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

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 : 2024-08-28

Application Deadline : 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.

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About Us

Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance.

Our success comes from the 84,000+ employees who bring our vision, values and strategy to life so we can help our clients thrive and communities prosper.

As Canada’s biggest bank, and one of the largest in the world based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to more than 16 million clients in Canada, the U.

S. and 34 other countries. Learn more at rbc.com.

We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities.

See how at rbc.com / community-social-impact.

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