Associate Director, Capital Markets Compliance Advisory (Canada)
Top Benefits
About the role
Job Description
What is your opportunity?
In this critical role, you will provide expert regulatory advice and compliance support for Canadian OTC derivatives regulations and trade reporting requirements, playing a key role in strengthening RBC’s commitment to regulatory excellence and operational integrity.
What will you do?
- Regulatory Advisory Expertise: Serve as a trusted advisor on Canadian OTC derivatives regulations, including but not limited to business conduct, trade reporting, and margin requirements, providing expert compliance support to Capital Markets and other business segments as needed.
- Trade Reporting Compliance: Oversee and provide guidance on trade reporting regulatory requirements, such as OTC derivatives reporting (CSA) and MTRS (CIRO), ensuring adherence to applicable standards across Capital Markets and related business units.
- Leadership in Special Projects: Lead and execute special projects as assigned by the reporting manager or Chief Compliance Officer (CCO), driving strategic initiatives to enhance compliance practices.
- Regulatory Change Management: Manage and implement regulatory change initiatives, ensuring organizational readiness and timely adoption of evolving compliance requirements.
- Policy Development and Enhancement: Develop, initiate, and revise policies and procedures to support the effective operation of the compliance program and its related activities, ensuring alignment with regulatory expectations.
- Compliance Monitoring and Guidance: Monitor compliance and ethics initiatives within the business unit, providing proactive guidance and strategic advice to the management team on compliance-related matters.
- Risk Identification and Mitigation: Identify potential areas of compliance vulnerability and risk, develop corrective action plans to address issues, and provide forward-looking guidance to prevent recurrence.
- Investigation Oversight: Respond to alleged violations of rules, regulations, policies, and procedures by evaluating concerns and recommending or initiating investigative procedures.
What do you need to succeed?
- Educational Background: Bachelor’s degree in Law, Finance, Business Administration, or a related field; advanced degrees (e.g., JD, MBA) or relevant professional certifications (e.g., CFA) are considered an asset.
- Industry Experience: Minimum of 7-10 years of experience in compliance, legal, or regulatory roles within Capital Markets, with a strong focus on OTC derivatives and trade reporting.
- Regulatory Expertise: In-depth knowledge of Canadian OTC derivatives regulations and trade reporting requirements, with a proven ability to interpret and apply complex regulatory frameworks.
- Leadership Skills: Demonstrated ability to lead cross-functional teams, manage special projects, and drive regulatory change initiatives effectively.
- Communication Skills: Excellent written and verbal communication skills, with the ability to articulate complex regulatory concepts to senior management and business stakeholders.
- Attention to Detail: High level of accuracy and attention to detail in assessing compliance risks and monitoring regulatory adherence.
- Relationship Management: Strong interpersonal skills to build collaborative relationships with internal teams, regulators, and external stakeholders.
- Adaptability: Ability to thrive in a fast-paced, dynamic environment and manage multiple priorities effectively.
- Technical Proficiency: Familiarity with compliance monitoring tools, trade reporting systems, and relevant technology platforms is an asset.
What’s in it for you?
We thrive on the challenge to be our best, thinking progressively 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
- 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 executives from many different parts of the organization
Job Skills
Audits Compliance, Capital Markets Products, Compliance Monitoring, Compliance Programs, Compliance Reporting, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, OTC Derivatives, Product Services, Regulatory Advice, Regulatory Compliance Consulting, Risk Management, Strategic Thinking, Transaction Reporting
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:
2025-10-06
Application Deadline:
2025-10-18
Note**:** Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
I****nclusion and Equal Opportunity Employment
At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
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.
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.
Associate Director, Capital Markets Compliance Advisory (Canada)
Top Benefits
About the role
Job Description
What is your opportunity?
In this critical role, you will provide expert regulatory advice and compliance support for Canadian OTC derivatives regulations and trade reporting requirements, playing a key role in strengthening RBC’s commitment to regulatory excellence and operational integrity.
What will you do?
- Regulatory Advisory Expertise: Serve as a trusted advisor on Canadian OTC derivatives regulations, including but not limited to business conduct, trade reporting, and margin requirements, providing expert compliance support to Capital Markets and other business segments as needed.
- Trade Reporting Compliance: Oversee and provide guidance on trade reporting regulatory requirements, such as OTC derivatives reporting (CSA) and MTRS (CIRO), ensuring adherence to applicable standards across Capital Markets and related business units.
- Leadership in Special Projects: Lead and execute special projects as assigned by the reporting manager or Chief Compliance Officer (CCO), driving strategic initiatives to enhance compliance practices.
- Regulatory Change Management: Manage and implement regulatory change initiatives, ensuring organizational readiness and timely adoption of evolving compliance requirements.
- Policy Development and Enhancement: Develop, initiate, and revise policies and procedures to support the effective operation of the compliance program and its related activities, ensuring alignment with regulatory expectations.
- Compliance Monitoring and Guidance: Monitor compliance and ethics initiatives within the business unit, providing proactive guidance and strategic advice to the management team on compliance-related matters.
- Risk Identification and Mitigation: Identify potential areas of compliance vulnerability and risk, develop corrective action plans to address issues, and provide forward-looking guidance to prevent recurrence.
- Investigation Oversight: Respond to alleged violations of rules, regulations, policies, and procedures by evaluating concerns and recommending or initiating investigative procedures.
What do you need to succeed?
- Educational Background: Bachelor’s degree in Law, Finance, Business Administration, or a related field; advanced degrees (e.g., JD, MBA) or relevant professional certifications (e.g., CFA) are considered an asset.
- Industry Experience: Minimum of 7-10 years of experience in compliance, legal, or regulatory roles within Capital Markets, with a strong focus on OTC derivatives and trade reporting.
- Regulatory Expertise: In-depth knowledge of Canadian OTC derivatives regulations and trade reporting requirements, with a proven ability to interpret and apply complex regulatory frameworks.
- Leadership Skills: Demonstrated ability to lead cross-functional teams, manage special projects, and drive regulatory change initiatives effectively.
- Communication Skills: Excellent written and verbal communication skills, with the ability to articulate complex regulatory concepts to senior management and business stakeholders.
- Attention to Detail: High level of accuracy and attention to detail in assessing compliance risks and monitoring regulatory adherence.
- Relationship Management: Strong interpersonal skills to build collaborative relationships with internal teams, regulators, and external stakeholders.
- Adaptability: Ability to thrive in a fast-paced, dynamic environment and manage multiple priorities effectively.
- Technical Proficiency: Familiarity with compliance monitoring tools, trade reporting systems, and relevant technology platforms is an asset.
What’s in it for you?
We thrive on the challenge to be our best, thinking progressively 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
- 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 executives from many different parts of the organization
Job Skills
Audits Compliance, Capital Markets Products, Compliance Monitoring, Compliance Programs, Compliance Reporting, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, OTC Derivatives, Product Services, Regulatory Advice, Regulatory Compliance Consulting, Risk Management, Strategic Thinking, Transaction Reporting
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:
2025-10-06
Application Deadline:
2025-10-18
Note**:** Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
I****nclusion and Equal Opportunity Employment
At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
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.
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.