What is your opportunity?

As Associate Director, you will partner effectively with the WMC businesses to provide compliance guidance and expertise on business and regulatory projects and initiatives. Additionally, this role will be responsible for all policy development, maintenance and implementation for RBC Dominion Securities (DS) Retail and will also provide policy support to the other WM Canada businesses, as needed.

What will you do?

• Creating, revising, and maintaining all RBC DS compliance policies and procedures to include new regulatory requirements or a change in business practices and communicating such changes.
• Providing policy support, as needed, to the other WMC businesses, including providing compliance input from a WMC perspective on proposed updates to Enterprise policies and procedures and leading the implementation of such Enterprise policies for WM Canada.
• Representing compliance interests of WM Canada on complex issues that require integrated solutions or joint responses through cross-enterprise working groups and other internal and industry committees.
• Providing advisory support and project expertise to WM head office groups as a compliance subject matter expert.
• Conducting impact assessments of new and proposed securities regulatory requirements and leading and/or participating on working groups to address new regulatory requirements for the purpose of implementation and ensuring compliance with regulations and firm policy.
• Providing compliance input on the creation and revision of WMC account documentation, including the revision of the client account agreement, as required.
• Providing support to Compliance staff including Trade Surveillance, Compliance Advisory team, Branch Review team, Regulatory Investigations and Inquiries and head office functional groups (e.g. Law Group) on policy interpretation, projects/initiatives and implementation.
• Coordinating and drafting key components of WMC Compliance quarterly reporting.
• Providing support on Regulatory Compliance Management (RCM), including monitoring and testing, as required.

What do you need to succeed?

• 7+ years of financial industry/compliance experience
• Significant policy development experience
• In-depth knowledge of securities laws/regulations applicable to IIROC/CSA regulated entities
• University degree (preference in business, finance, economics, law)
• Excellent written and oral communication as well as presentation skills
• Strong group leadership skills and ability to network with and cultivate cross-enterprise alliances and partnerships with platforms, business units and other key stakeholders
• Ability to facilitate and manage initiatives and demonstrate impact and influence across multiple businesses and levels of management
• Strong ability to identify new value added opportunities demonstrating creativity and conceptual thinking skills
• Proven analytical, problem-solving and consultative skills
• PC literacy with good working knowledge of Microsoft applications (Access, Word, Excel) with an automation mindset

Nice-to-have

• Bilingual: French language
• Canadian Securities Course

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
• Opportunity to interface with executives from many different parts of the organization