Job Summary

Job Description

What is the opportunity?

As Manager, Compliance you are a member of the RBC Compliance team supporting the Compliance program of RBC Global Asset Management in Canada, with responsibilities focused on executing the firm’s day-to-day compliance activities and supporting the rest of the Compliance team.  The position is ideal for you if you are interested in developing your skills in regulatory compliance, including in surveillance, ongoing monitoring and testing, and growing with the position and team over time.  As Manager, you report directly into the Director, Compliance located in Toronto.  

*This position can be based out of Toronto or Vancouver.*

What will you do?

Respond to compliance inquiries and advise on various subject matters as may be designated by the Director, Compliance or Chief Compliance OfficerIdentify and research potential violations of regulations, policies and procedures, document and report findings in a timely mannerAssist in the creation and implementation of new or amended compliance policies and proceduresSupport the team’s second line of defense activities by conducting surveillance, monitoring, and testing activities and associated reportingExecute day-to-day compliance operational activities of the team and necessary tasks and reporting including for personal trading and other employee conduct related policies and policies  Work effectively within a team environment, cross train and provide back up to other members of the team as assignedFulfill other responsibilities as assigned by the Director, Compliance or Chief Compliance Officer

What do you need to succeed?

Must-have:

2-4 years of experience in regulatory compliance, preferably in securities industryUniversity or post-graduate degree (Business, Finance, Law is preferred)Excellent judgement and analytical skills - problem solving, curiosity, ability to simplify, desire to learn and growComfort working in a fast-paced environment where complex issues and deadlines are commonAccuracy in work output, and attention to detail are essentialEffective organization skills, including the ability to meet deadlines consistently, and prioritize between competing tasks and deadlinesStrong communication skills required to respond to questions, summarize facts, and write reportsEthical, able to maintain a confidence and exercise good judgementProfessional and able to work collaboratively with others

Nice-to-have:

Relevant securities industry courses, and/or enrolled in Chartered Financial Analyst programWorking knowledge of Canadian regulatory requirements as they pertain to portfolio management and investment funds, including National Instruments 31-103 and 81-102.

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 and competitive compensationLeaders who support your development through coaching and managing opportunitiesWork in a dynamic, collaborative, progressive, and high-performing teamOpportunities to do challenging work

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, 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:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-01-06

Application Deadline:

2025-01-21

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

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.
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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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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.