Associate Director, Compliance, Capital Markets
Top Benefits
About the role
Job Description
What is the opportunity?
As Associate Director, Capital Markets (‘CM’) Compliance for Singapore and Hong Kong, you will support Singapore and Hong Kong’s Global Markets and Global Investment Banking businesses, advising on their various local and global regulatory obligations. You will report to the Head of Capital Markets Compliance, Singapore and Hong Kong.
What will you do?
- Maintain a detailed knowledge of applicable regulations, best practices and relevant internal RBC policies and procedures;
- Conduct annual risk assessments, including the check and challenge of 1LOD risk assessments for CM Singapore and Hong Kong;
- Identify control/governance gaps and track remediation in relevant internal tools, working with the 1LOD to identify appropriate owners, deadlines and required evidence of remediation;
- Designing and maintaining Compliance policies and procedures to address identified regulatory risks;
- Devising and delivering compliance training to business stakeholders;
- Collaborating with colleagues in other regions and other Compliance and Control functions, including: Trade Surveillance; Monitoring & Testing; Central Services; Operational Risk and others to support RBCCM’s risk management;
- Advise on the application of current and future regulatory requirements;
- Draft and present Compliance Management Information; and
- Review, advise and draft appropriate text from a compliance perspective for New Business Initiatives.
What do you need to succeed?
Must-have
- Degree educated;
- Minimum 5 years’ experience in related compliance role;
- Good understanding of Capital Markets business;
- Solid understanding of the Singapore Regulatory Requirements;
- Strong presentation skills; and
- Strong attention to detail.
Nice-to-have
- Compliance Advisory experience.
- Understanding of Hong Kong’s Regulatory requirements.
- Good understanding of issues pertaining to public /private information flows; and
- Understanding of Global regulatory requirements (examples: Global FX Code; SEC; CFTC; FCA; OSFI).
What is 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, flexible benefits and competitive compensation.
- Leaders who support your development through coaching and managing opportunities.
- Opportunities to work with the best in the field.
- Ability to make a difference and lasting impact.
- Work in a dynamic, collaborative, progressive, and high-performing team; and
- A world-class training program in financial services.
Agency Notice
RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additio nal details.
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
Additional Job Details
Address:
8 MARINA VIEW, #26-01 ASIA SQUARE TOWER 1:SINGAPORE
City:
Singapore
Country:
Singapore
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-08-08
Application Deadline:
2025-09-30
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
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, Compliance, Capital Markets
Top Benefits
About the role
Job Description
What is the opportunity?
As Associate Director, Capital Markets (‘CM’) Compliance for Singapore and Hong Kong, you will support Singapore and Hong Kong’s Global Markets and Global Investment Banking businesses, advising on their various local and global regulatory obligations. You will report to the Head of Capital Markets Compliance, Singapore and Hong Kong.
What will you do?
- Maintain a detailed knowledge of applicable regulations, best practices and relevant internal RBC policies and procedures;
- Conduct annual risk assessments, including the check and challenge of 1LOD risk assessments for CM Singapore and Hong Kong;
- Identify control/governance gaps and track remediation in relevant internal tools, working with the 1LOD to identify appropriate owners, deadlines and required evidence of remediation;
- Designing and maintaining Compliance policies and procedures to address identified regulatory risks;
- Devising and delivering compliance training to business stakeholders;
- Collaborating with colleagues in other regions and other Compliance and Control functions, including: Trade Surveillance; Monitoring & Testing; Central Services; Operational Risk and others to support RBCCM’s risk management;
- Advise on the application of current and future regulatory requirements;
- Draft and present Compliance Management Information; and
- Review, advise and draft appropriate text from a compliance perspective for New Business Initiatives.
What do you need to succeed?
Must-have
- Degree educated;
- Minimum 5 years’ experience in related compliance role;
- Good understanding of Capital Markets business;
- Solid understanding of the Singapore Regulatory Requirements;
- Strong presentation skills; and
- Strong attention to detail.
Nice-to-have
- Compliance Advisory experience.
- Understanding of Hong Kong’s Regulatory requirements.
- Good understanding of issues pertaining to public /private information flows; and
- Understanding of Global regulatory requirements (examples: Global FX Code; SEC; CFTC; FCA; OSFI).
What is 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, flexible benefits and competitive compensation.
- Leaders who support your development through coaching and managing opportunities.
- Opportunities to work with the best in the field.
- Ability to make a difference and lasting impact.
- Work in a dynamic, collaborative, progressive, and high-performing team; and
- A world-class training program in financial services.
Agency Notice
RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additio nal details.
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
Additional Job Details
Address:
8 MARINA VIEW, #26-01 ASIA SQUARE TOWER 1:SINGAPORE
City:
Singapore
Country:
Singapore
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-08-08
Application Deadline:
2025-09-30
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
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.