Top Benefits
About the role
Job Description
What is your opportunity?
As Associate Director, Compliance, you will provide support to the Wealth Management Canada business, including DS Retail, in relation to branch network inquiries and escalations and the resolution of client complaints, with a view to mitigating civil, regulatory and reputational risk for RBC. Additionally, you will assist with special initiatives and projects as needed to respond to internal requests and regulatory changes and focus areas.
What will you do?
- Act as the lead DS Compliance support for Quebec. This includes being the key contact for Branch Managers and Investment Advisors.
- Provide advisory support to the branch network, including by responding to routine and complex inquiries and escalations. Assist with the complaint review, resolution and escalation process for French language reportable complaints, ensuring compliance with CIRO and AMF rules.
- Acting as the primary support for French language/AMF regulatory projects, deliverables and initiatives.
- Dealing with “non-routine matters” including certain client escalations.
- As needed, assist with monitoring activities for the DS Retail business.
- Provide support for regulatory initiatives, participate in internal working groups, and ad hoc projects as required.
- Act as primary backup for the review and approval of uncovered options trading requests.
What do you need to succeed?
- 7+ years of progressive experience in the financial services business
- Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements
- Ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and other key stakeholders.
- Strategic mindset, ability to work well within a team, strong interpersonal skills and a strong client service focus.
- Excellent verbal communication skills and ability to communicate clearly and effectively in writing.
- Effective at time-management, multi-tasking and delivering on short-term priorities while maintaining a long-term focus; and ability to both respond to and drive change management.
- Bilingualism (English and French) required, as you will regularly serve our clients and do business with RBC partners and/or employees across Canada with English and French speaking needs.
Nice-to-have
- 5+ years of experience with wealth management/full-service brokerage
- 2+ years of Compliance experience with a CIRO dealer member
- Canadian Securities Course, Conduct and Practices Handbook Course, Derivatives Fundamentals Course, Options Licensing Course, Options Supervisor Course, Chief Compliance Officers 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
- The 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:
Regular
Pay Type:
Salaried
Posted Date:
2025-09-26
Application Deadline:
2025-11-01
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.
Top Benefits
About the role
Job Description
What is your opportunity?
As Associate Director, Compliance, you will provide support to the Wealth Management Canada business, including DS Retail, in relation to branch network inquiries and escalations and the resolution of client complaints, with a view to mitigating civil, regulatory and reputational risk for RBC. Additionally, you will assist with special initiatives and projects as needed to respond to internal requests and regulatory changes and focus areas.
What will you do?
- Act as the lead DS Compliance support for Quebec. This includes being the key contact for Branch Managers and Investment Advisors.
- Provide advisory support to the branch network, including by responding to routine and complex inquiries and escalations. Assist with the complaint review, resolution and escalation process for French language reportable complaints, ensuring compliance with CIRO and AMF rules.
- Acting as the primary support for French language/AMF regulatory projects, deliverables and initiatives.
- Dealing with “non-routine matters” including certain client escalations.
- As needed, assist with monitoring activities for the DS Retail business.
- Provide support for regulatory initiatives, participate in internal working groups, and ad hoc projects as required.
- Act as primary backup for the review and approval of uncovered options trading requests.
What do you need to succeed?
- 7+ years of progressive experience in the financial services business
- Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements
- Ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and other key stakeholders.
- Strategic mindset, ability to work well within a team, strong interpersonal skills and a strong client service focus.
- Excellent verbal communication skills and ability to communicate clearly and effectively in writing.
- Effective at time-management, multi-tasking and delivering on short-term priorities while maintaining a long-term focus; and ability to both respond to and drive change management.
- Bilingualism (English and French) required, as you will regularly serve our clients and do business with RBC partners and/or employees across Canada with English and French speaking needs.
Nice-to-have
- 5+ years of experience with wealth management/full-service brokerage
- 2+ years of Compliance experience with a CIRO dealer member
- Canadian Securities Course, Conduct and Practices Handbook Course, Derivatives Fundamentals Course, Options Licensing Course, Options Supervisor Course, Chief Compliance Officers 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
- The 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:
Regular
Pay Type:
Salaried
Posted Date:
2025-09-26
Application Deadline:
2025-11-01
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.