Manager, Compliance Advisory, Global Markets

Royal Bank of Canada•Toronto, ON

4d•Onsite

About The Position

We are seeking a dynamic and experienced Manager, Capital Markets Compliance to join our team. In this role, you will partner effectively with the various lines of businesses under Global Markets with to provide compliance guidance on business and regulatory projects and initiatives. This role will be responsible for performing monitoring activities, providing timely responses to regulatory inquiries by liaising closely with the business partners. You will be playing a key role in strengthening RBC’s commitment to regulatory excellence and operational integrity.

Requirements

Bachelor’s degree in Finance, Business Administration, or a related field; advanced degrees (e.g., MBA) or relevant professional certifications (e.g., CFA) are considered an asset.
3-5 years of experience in compliance, supervision or regulatory roles within Capital Markets.
Good understanding of securities laws/regulations applicable to CIRO/CSA/MX regulated entities.
Excellent written and verbal communication skills, with the ability to articulate complex regulatory concepts to senior management and business stakeholders.
High level of accuracy and attention to detail in assessing compliance risks and monitoring regulatory adherence.
Ability to facilitate and manage initiatives and demonstrate impact and influence across multiple businesses and levels of management.
Strong interpersonal skills to build collaborative relationships with internal teams, regulators, and external stakeholders.

Nice To Haves

CFA
CSC, CPH, Derivatives Courses offered by CSI

Responsibilities

Conduct periodic reviews to ensure the relevant line of business is compliant with applicable regulations and policies.
Develop new monitoring reviews as a result of new regulations, regulatory changes, and/or business initiatives.
Perform rolling risk assessments for the coverage lines of business and provide effective challenge to the 1LOD assessment and control.
Provide support on regulatory change impact assessment, issues management, and trigger event assessment.
Work closely with 1LOD and other compliance team colleagues for timely responses to the regulatory inquiries.
Develop compliance monitoring program through surveillance or advisory team for any emerging theme that may come out from the regulatory inquiries.
Review and provide effective challenge where appropriate on 1LOD responses to surveillance alerts.
Assist in the development and maintenance of up-to-date policies and procedures for all business lines covered.
Communicate and socialize the policy updates to the relevant stakeholders.
Assist the team during the annual compliance firm element training review and preparation process.
Coordinate and draft key components of Compliance quarterly trade desk reports.
Participate and complete ad hoc assignments and projects as assigned.