Associate Director, Control Room
Top Benefits
About the role
Job Description
What is the opportunity?
Associate Director / Senior Compliance Manager within the Capital Markets Compliance team for RBCCM Europe, with responsibility for supporting the Head of Global Investment Banking, Control Room and Research Compliance Advisory (Europe) in relation to all Private Side and Research Advisory activities in respect of RBC Europe Limited and RBC London Branch.
RBC’s expectation is that from mid-September 2025, all employees and contractors will work in the office with some flexibility to work up to 1 day per week remotely, depending on working arrangements.
What will you do?
- Undertake any tasks as may be required in respect of Control Room activities including but not limited to clearance of Research escalations, maintenance of Watch & Restricted Lists, deal updates, Information Barrier management, UK Takeover Panel disclosures.
- Maintain policies and procedures to address identified regulatory risks, developing a detailed knowledge of applicable regulations, best practices and relevant internal RBC policies and procedures.
- Devise and deliver Compliance training.
- Conduct monitoring activities in line with the team’s monitoring framework.
- Keep abreast of relevant regulatory developments, assess their impact and issue guidance to the front office as required.
- Review breaches of policy and assess the appropriate outcome within the firm’s breach framework.
- Undertake ad-hoc assignments as required.
What do you need to succeed?
- Excellent written and verbal communication skills.
- Relevant Compliance experience handling Private Side & Research Compliance queries.
- Knowledge of primary and secondary UK financial services legislation.
- Knowledge of Investment Banking businesses.
- Ability to challenge the front line, where appropriate, and handle difficult conversations.
- Ability to work well in a team and build relationships at all levels of the bank.
- Aptitude for accuracy, attention to detail and proactive approach.
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
- A world-class training program in financial services
- Flexible working options fully supported.
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:
100 BISHOPSGATE:LONDON
City:
London
Country:
United Kingdom
Work hours/week:
35
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-09-11
Application Deadline:
2025-09-25
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, Control Room
Top Benefits
About the role
Job Description
What is the opportunity?
Associate Director / Senior Compliance Manager within the Capital Markets Compliance team for RBCCM Europe, with responsibility for supporting the Head of Global Investment Banking, Control Room and Research Compliance Advisory (Europe) in relation to all Private Side and Research Advisory activities in respect of RBC Europe Limited and RBC London Branch.
RBC’s expectation is that from mid-September 2025, all employees and contractors will work in the office with some flexibility to work up to 1 day per week remotely, depending on working arrangements.
What will you do?
- Undertake any tasks as may be required in respect of Control Room activities including but not limited to clearance of Research escalations, maintenance of Watch & Restricted Lists, deal updates, Information Barrier management, UK Takeover Panel disclosures.
- Maintain policies and procedures to address identified regulatory risks, developing a detailed knowledge of applicable regulations, best practices and relevant internal RBC policies and procedures.
- Devise and deliver Compliance training.
- Conduct monitoring activities in line with the team’s monitoring framework.
- Keep abreast of relevant regulatory developments, assess their impact and issue guidance to the front office as required.
- Review breaches of policy and assess the appropriate outcome within the firm’s breach framework.
- Undertake ad-hoc assignments as required.
What do you need to succeed?
- Excellent written and verbal communication skills.
- Relevant Compliance experience handling Private Side & Research Compliance queries.
- Knowledge of primary and secondary UK financial services legislation.
- Knowledge of Investment Banking businesses.
- Ability to challenge the front line, where appropriate, and handle difficult conversations.
- Ability to work well in a team and build relationships at all levels of the bank.
- Aptitude for accuracy, attention to detail and proactive approach.
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
- A world-class training program in financial services
- Flexible working options fully supported.
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:
100 BISHOPSGATE:LONDON
City:
London
Country:
United Kingdom
Work hours/week:
35
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-09-11
Application Deadline:
2025-09-25
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.