Associate Director, Compliance Projects & Advisory
Top Benefits
About the role
Job Summary This role serves as a key link between the RBC Wealth Management Canada (WMC) Head Office businesses and WMC Compliance.
Job Description 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
Job Skills 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: Contract (Fixed Term)
Pay Type: Salaried
Posted Date: 2025-06-18
Application Deadline: 2025-07-05
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</a/span>
About RBC Dominion Securities
At RBC Dominion Securities, our vision is simple: to always earn the right to be our clients’ first choice for wealth management services. We know that to achieve this vision, we must invest in our business and ensure our advisors have access to best-in-class tools and resources.
For more than a century, we have helped individuals, families, businesses, charitable foundations, and other organizations build on and preserve their wealth through sound financial planning, trusted investment advice and unparalleled wealth management solutions. We are committed to providing advisors with the tools and support needed to scale their business. It’s why today, RBC Dominion Securities is one of Canada’s leading full-service investment and wealth management firms.
RBC Dominion valeurs mobilières a une vision simple : toujours mériter le privilège d’être le premier choix de ses clients pour la gestion de leur patrimoine. Pour ce faire, nous savons qu’il faut investir dans nos activités et veiller à ce que nos conseillers aient accès à des outils et à des ressources de pointe.
Depuis plus de cent ans, nous aidons les particuliers, les familles, les entreprises, les fondations de bienfaisance et d’autres organisations à constituer un patrimoine et à le préserver grâce à une planification financière judicieuse, à des conseils de placement fiables et à des solutions de gestion de patrimoine sans pareilles. Nous nous faisons un devoir de fournir aux conseillers les outils et le soutien dont ils ont besoin pour augmenter leur volume d’affaires. C’est pourquoi RBC Dominion valeurs mobilières fait aujourd’hui partie des plus grandes sociétés de gestion de patrimoine et de placements à service complet du Canada.
https://www.rbcds.com/en/about-us/
For information about our legal terms of use, please visit www.rbc.com/legal/#social_media.
Associate Director, Compliance Projects & Advisory
Top Benefits
About the role
Job Summary This role serves as a key link between the RBC Wealth Management Canada (WMC) Head Office businesses and WMC Compliance.
Job Description 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
Job Skills 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: Contract (Fixed Term)
Pay Type: Salaried
Posted Date: 2025-06-18
Application Deadline: 2025-07-05
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</a/span>
About RBC Dominion Securities
At RBC Dominion Securities, our vision is simple: to always earn the right to be our clients’ first choice for wealth management services. We know that to achieve this vision, we must invest in our business and ensure our advisors have access to best-in-class tools and resources.
For more than a century, we have helped individuals, families, businesses, charitable foundations, and other organizations build on and preserve their wealth through sound financial planning, trusted investment advice and unparalleled wealth management solutions. We are committed to providing advisors with the tools and support needed to scale their business. It’s why today, RBC Dominion Securities is one of Canada’s leading full-service investment and wealth management firms.
RBC Dominion valeurs mobilières a une vision simple : toujours mériter le privilège d’être le premier choix de ses clients pour la gestion de leur patrimoine. Pour ce faire, nous savons qu’il faut investir dans nos activités et veiller à ce que nos conseillers aient accès à des outils et à des ressources de pointe.
Depuis plus de cent ans, nous aidons les particuliers, les familles, les entreprises, les fondations de bienfaisance et d’autres organisations à constituer un patrimoine et à le préserver grâce à une planification financière judicieuse, à des conseils de placement fiables et à des solutions de gestion de patrimoine sans pareilles. Nous nous faisons un devoir de fournir aux conseillers les outils et le soutien dont ils ont besoin pour augmenter leur volume d’affaires. C’est pourquoi RBC Dominion valeurs mobilières fait aujourd’hui partie des plus grandes sociétés de gestion de patrimoine et de placements à service complet du Canada.
https://www.rbcds.com/en/about-us/
For information about our legal terms of use, please visit www.rbc.com/legal/#social_media.