Associate Director, Digital Investments Compliance

RBC • Toronto, ON

1d • Onsite

About The Position

RBC Direct Investing Inc. and RBC InvestEase Inc. are dynamic, digital-first investment firms subject to securities regulations and legislation. In this role, you will provide compliance advice to enable business objectives and conduct oversight to help ensure the firms’ compliance with regulatory obligations. As Associate Director, Digital Investments Compliance, your responsibilities will include regulatory change management, policy development, training, reporting, and advisory support in respect of business initiatives.

Requirements

• Demonstrated ability to analyze and assess risk versus regulatory framework and business objectives
• Excellent written and verbal communication skills
• Strong organizational, prioritization and project management capabilities, with ability to work independently and within cross-platform project groups
• In-depth understanding of securities regulations, fintech and the financial services industry.
• Deadline-driven and results-oriented; able to meet consistently high quality standards while handling a variety of tasks and deadlines simultaneously.

Nice To Haves

• Canadian Securities Course and other industry courses
• Business French
• Expertise with MS Office tools, Tableau, Archer
• Passion for trading, investing, and use of emerging technologies

Responsibilities

• Manage securities regulatory compliance oversight for by identifying, managing, and monitoring securities regulatory risks associated with order execution only and robo-advisory businesses.
• Provide compliance advisory services to RBCDI and RBCIE head office, senior management and front-line staff
• Conduct compliance risk assessments relating to regulatory change or business initiatives
• Lead and/or conduct compliance reviews and manage escalations relating to broad range of matters including: marketing, complaints, cybersecurity, fraud and other client matters, market surveillance, trading and client transaction escalations.
• Develop Compliance policies and procedures
• Develop and deliver training, as required, to business and other compliance teams
• Special, ad-hoc projects as assigned

Benefits

• bonuses
• flexible benefits
• competitive compensation
• commissions
• stock where applicable
• Leaders who support your development through coaching and managing opportunities
• A world-class training program in financial services
• Flexible work/life balance options

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: No Education Listed