Associate Director, Private Side Advisory Canadian Control Room
Top Benefits
About the role
Job Description
What is your opportunity?
You will be responsible for management of Regulatory Compliance Management, Regulatory Change, and Issue Management as it relates to the Control Room. You will conduct annual and ad-hoc in person training for all business segments supported by the Control Room and respond to Control Room related audit examinations, regulatory requests, and internal investigations involving all supported business lines. You will also establish and maintain relationships as a trusted Advisor on regulatory compliance, reputational and risk management matters to all private-side business units within RBC Capital Markets (Canada).
What will you do?
Control Room Oversight
- Responsible for conducting annual and other in person ad hoc training all supported business segments.
- Responsible for ensuring regulatory compliance issues and concerns are identified and resolved for supported business segments.
- Responsible for responding timely to compliance-related audit examinations, regulatory examinations, regulatory requests, and internal investigations involving all supported business.
- Responsible for reporting any Compliance-related issues to senior management and the Chief Compliance Officer, Capital Markets Compliance (Canada), as appropriate.
- Responsible for driving annual policy, process, and procedural reviews for the Canadian Control Room.
- Assisting with managing information barriers, conflict clearance, conflicts of interest, and procedures for RBC Capital Markets (Canada), including but not limited to: the RBCCM Information Barriers Policy.
- Communicate relevant regulatory developments and industry enforcement actions on a timely basis to senior management and other interested parties.
- Responsible for monitoring industry and regulatory developments relating to insider trading, tipping, UMIR 7.7, conflicts of interest, etc. including conducting an impact analysis and communicating any impact to senior management of affected business units.
- Collaborate with regional Compliance colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers.
- Manage and oversee the monitoring and testing program of the Canadian Control Room.
- Assisting with advise to Research and Sales & Trading of restrictions and corresponding permissible activities
What do you need to succeed?
Must have
- Bachelor’s Degree
- Relevant work experience within a broker dealer, ideally Capital Markets (front, mid, back office) or equivalent experience with a Regulators
- Knowledge and experience with Capital Markets products and services.
- Completion of the Canadian Securities Course and Conduct and Practices Handbook Exams.
- University degree in business, finance, economics or other related discipline combined with +5 years of progressive Compliance or related experience.
Nice to have
- Strong presentation skills in a group setting.
- Exceptional oral/written communication skills, interpersonal, networking, leadership, organization, and multitasking skills.
- Highly motivated and self-directed with a results-oriented mindset.
- Ability to communicate sensitive information verbally and in writing to individuals at all levels.
- Ability to work collaboratively on a team and build effective working relationships.
- Strong organizational skills and a keen attention to detail
- High ethical standards and discretion in handling confidential and sensitive matters.
- Demonstrated ability to lead complex, cross-functional initiatives with limited supervision.
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
- 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
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, Private Side Advisory Canadian Control Room
Top Benefits
About the role
Job Description
What is your opportunity?
You will be responsible for management of Regulatory Compliance Management, Regulatory Change, and Issue Management as it relates to the Control Room. You will conduct annual and ad-hoc in person training for all business segments supported by the Control Room and respond to Control Room related audit examinations, regulatory requests, and internal investigations involving all supported business lines. You will also establish and maintain relationships as a trusted Advisor on regulatory compliance, reputational and risk management matters to all private-side business units within RBC Capital Markets (Canada).
What will you do?
Control Room Oversight
- Responsible for conducting annual and other in person ad hoc training all supported business segments.
- Responsible for ensuring regulatory compliance issues and concerns are identified and resolved for supported business segments.
- Responsible for responding timely to compliance-related audit examinations, regulatory examinations, regulatory requests, and internal investigations involving all supported business.
- Responsible for reporting any Compliance-related issues to senior management and the Chief Compliance Officer, Capital Markets Compliance (Canada), as appropriate.
- Responsible for driving annual policy, process, and procedural reviews for the Canadian Control Room.
- Assisting with managing information barriers, conflict clearance, conflicts of interest, and procedures for RBC Capital Markets (Canada), including but not limited to: the RBCCM Information Barriers Policy.
- Communicate relevant regulatory developments and industry enforcement actions on a timely basis to senior management and other interested parties.
- Responsible for monitoring industry and regulatory developments relating to insider trading, tipping, UMIR 7.7, conflicts of interest, etc. including conducting an impact analysis and communicating any impact to senior management of affected business units.
- Collaborate with regional Compliance colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers.
- Manage and oversee the monitoring and testing program of the Canadian Control Room.
- Assisting with advise to Research and Sales & Trading of restrictions and corresponding permissible activities
What do you need to succeed?
Must have
- Bachelor’s Degree
- Relevant work experience within a broker dealer, ideally Capital Markets (front, mid, back office) or equivalent experience with a Regulators
- Knowledge and experience with Capital Markets products and services.
- Completion of the Canadian Securities Course and Conduct and Practices Handbook Exams.
- University degree in business, finance, economics or other related discipline combined with +5 years of progressive Compliance or related experience.
Nice to have
- Strong presentation skills in a group setting.
- Exceptional oral/written communication skills, interpersonal, networking, leadership, organization, and multitasking skills.
- Highly motivated and self-directed with a results-oriented mindset.
- Ability to communicate sensitive information verbally and in writing to individuals at all levels.
- Ability to work collaboratively on a team and build effective working relationships.
- Strong organizational skills and a keen attention to detail
- High ethical standards and discretion in handling confidential and sensitive matters.
- Demonstrated ability to lead complex, cross-functional initiatives with limited supervision.
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
- 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
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.