Associate Director, CSS

Job Summary

Job Description

What is the opportunity?

As an integral member of the Compliance Shared Services team, the Associate Director helps support the Managing Director, Compliance Shared Services for Canada and the Caribbean.

The role will be responsible for assisting with the design, implementation and ongoing administration of the Regulatory Compliance Management (RCM) Program covering Capital Markets.

the Associate Director will actively participate in promoting global best practices relating to common program elements; act as a Centre of Expertise on RCM Enterprise and CM standards within the Compliance function supporting Capital Markets.

What will you do?

• Participate in the overall design, implementation, governance, and oversight of the RCM regional program in Canada. Manage and promote best practices, while acting as a Centre of Expertise on the Regulatory Compliance Management Framework and other RBC Enterprise standards.
• Responsible for the ongoing management of RCM activity such as Annual RCM Universe Review, Rolling risk assessment support, RCM Self-Assessment, Monitoring and Testing annual planning and ongoing oversight Regulatory rule engine feed, Issues management, and the Baseline inherent risk review.
• Provide support and coordination for the RCM program across CM Canada. Liaise closely with Compliance colleagues and other functions / 1LOD partners where applicable (both locally and globally) to ensure a consistent RCM approach.
• Additional general support includes guidance on Reg development / CP impact, RCM access, ad-hoc information requests, RegComp and Calma training, participation in various working groups, and ongoing review of CM RCM database for underlying data integrity.
• Provide support and coordination for RCM reporting, working with the Compliance Reporting, Data Analytics & Innovation team to ensure a consistent view of all RCM activity, including RCM exception reports.
• Contribute to the enhancement of the global RCM program, methodology, governance model and technology through close interaction with the Enterprise RCM team.

This includes ongoing work on the identification and documentation of key regulatory compliance risks, associated 1LOD / 2LOD controls and / or monitoring & testing activities and accuracy of RCM data.

• Participate in a global compliance community promoting global best practices, while ensuring a consistent understanding and implementation of standards for regulatory exams, regulatory change management, QAR and other common program elements.
• Other duties as assigned.

What do you need to succeed?

Must have

• 7-10 years of relevant experience
• Post-secondary education or equivalent
• Direct compliance or risk experience supporting a Capital Markets / institutional business (sales and trading, corporate and investment banking)
• Working knowledge of and previous experience with Compliance Governance, Regulatory Compliance Management / OSFI E-13, and securities / regulatory environment
• Generalist across multiple compliance subject areas
• Strong knowledge of industry best practices relating to Compliance (regionally and globally)
• Experience and ability to deal with senior executives
• Ability to influence others and build strong working relationships, and drive consensus across multiple stakeholders
• Excellent written and verbal communication skills

Nice to have

• Ability to act independently and manage uncertainty
• Strong collaboration across regions / cultures
• Comfort organizing and interpreting large data sets, while identifying key areas of focus

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, 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

TORONTO

Country : Canada

Canada

Work hours / week : 37.5

37.5

Employment Type : Full time

Full time

Platform : Law and Compliance

Law and Compliance

Job Type : Regular

Regular

Pay Type : Salaried

Salaried

Posted Date : 2024-05-07

2024-05-07

Application Deadline :

2024-05-25

I nclusion 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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