Associate Director, Fixed Income Compliance Advisory

RBC•Toronto, ON

2d•Onsite

About The Position

You'll be a key regulatory advisor for fixed income compliance across RBC Capital Markets Canada. Working as a valued member of a high-performing compliance team, you'll advise our sales, trading, and business teams on complex regulatory matters while supporting the Director and broader compliance function. You'll collaborate with senior leadership, regulators, and industry peers to help RBC maintain strong fixed income compliance practices. This is an impactful role for someone who combines deep regulatory expertise with strong business judgment and a commitment to operational excellence.

Requirements

Bachelor's degree in law, finance, business administration, or a related field
Minimum of 7–9 years of progressive experience in compliance, supervision, or front-office roles within Capital Markets, with substantial focus on fixed income products
In-depth knowledge of Canadian fixed income regulations and demonstrated ability to interpret and apply complex regulatory frameworks in a real-world business context
Strong track record of independent advisory work and cross-functional collaboration
Excellent written and verbal communication skills—you can articulate complex regulatory concepts to senior executives and business teams with clarity and confidence
Strong interpersonal skills and a demonstrated ability to build trust, collaborate across functions, and contribute to team effectiveness
Proven ability to manage competing priorities and drive initiatives to completion with minimal oversight

Nice To Haves

Advanced degrees (JD, MBA) or professional certifications (CFA)
Familiarity with compliance monitoring tools and relevant trading technology platforms
Prior experience advising on regulatory strategy and change management initiatives

Responsibilities

Serve as a subject matter expert on Canadian fixed income regulations and industry best practices, including CIRO Dealer Member Rules and FMSB standards
Provide timely, expert compliance advice to sales, trading, and other business segments on business conduct, market conduct, and transactional matters
Interpret complex regulatory frameworks and translate them into actionable guidance for business stakeholders at all levels
Handle routine matters independently while escalating complex issues to the Director and Head of Macro Compliance Advisory as appropriate
Contribute to special projects and regulatory change initiatives led by the Director or MD of FICC Compliance Advisory
Support organizational readiness for evolving compliance requirements, assist in developing implementation roadmaps, and help drive adoption across the business unit
Demonstrate measurable impact on compliance effectiveness and regulatory standing through quality advisory work and proactive risk identification
Contribute to the development and enhancement of policies, procedures, and training that support the compliance program
Identify potential compliance vulnerabilities, assess associated risks, and recommend corrective action plans
Provide forward-looking guidance to prevent issues before they escalate
Help ensure consistent application of policies across advisory coverage areas
Support key liaison activities with CIRO and other regulatory bodies, assisting with inquiries, audits, and regulatory interactions
Actively participate in industry working groups and internal cross-functional initiatives where your expertise adds value
Build and maintain collaborative relationships with internal teams, regulators, and external stakeholders
Represent RBC's compliance posture with credibility and professionalism
Monitor compliance and ethics initiatives within assigned areas of the business unit, providing proactive guidance to management on compliance-related matters
Support general Capital Markets and RBC enterprise compliance policy implementation across your area of responsibility
Review instances of non-compliance with internal policies and regulatory requirements, and support corrective actions, including employee breaches
Support internal and external investigations under Director oversight
Identify trends, escalate emerging risks, and contribute to refinement of monitoring protocols

Benefits

bonuses
flexible benefits
competitive compensation
commissions
stock where applicable
Leaders who support your development through coaching and managing opportunities
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team
A world-class training program in financial services
Flexible work/life balance options
Opportunities to do challenging work