Manager, Disclosure & Trading Compliance
Top Benefits
About the role
Job Description
What is the opportunity?
The Manager, Trading Disclosure Compliance is a key member of the Canada Control Room team, responsible for overseeing the firm’s Employee Compliance Monitoring programs with a focus on personal account dealing, employee disclosures, and monitored employe oversight. This role plays a critical part in safeguarding the firm’s Information Barriers by ensuring that employes with access to material non-public information, confidential information, insider, or confidential information comply with all applicable trading restrictions and disclosure requirements. The Manager, also serves in an advisory capacity, providing expert guidance to employees, business leaders, and other stakeholders on compliance obligation, personal trading restrictions, and information barrier protocols.
What will you do?
- Oversee the day-to-day operations of the Employee Disclosure and Personal Trading Monitoring program within the Control Room, ensuring timely and accurate processing of all disclosures, account dealing
- Conducting annual and routine ad hoc training of all supported business segments
- Provide guidance and advise to employees across all levels within the firm, including Senior Executive
- Provide real-time support for trade preclearance request
- Onboard employes to the monitoring program and maintain accurate monitor profiles
- Assist in data validation and reconciliation efforts to ensure accuracy in monitoring reports and employee profiles
- Review daily and monthly trade reports, outside business activities and private investment request to identify and escalate potential conflict of interest or compliance concerns
- Manage escalation review, investigate potential breaches, and determine appropriate follow-up actions in consultation with senior compliance management team
- Provide advisory support to employees and business units regarding personal trading rules, disclosure requirements, and information barrier protocols, ensuring clarify and consistency in guidance
- Participate in a rotation to provide coverage for the Control Room Compliance Hotline during business hours, ensuring timely and professional responses to inquiries.
- Ensure compliance for employees classified as “monitored” due to access to material non-public information, confidential information, inside information, upholding strict adherence to the firm’s information barrier program
- Proactively identify potential compliance issues and trends within monitoring data, raising concerns to senior management
- Collaborate with IT, operations, and regional Compliance colleagues to improve data integrity, reporting capabilities, and automation of compliance monitoring system.
- Assist with responding to compliance-related audit examinations, regulatory requests, and internal investigations involving all supported business segments
- Drive continuous improvement initiatives by identifying gaps or inefficiencies in the monitoring program and collaborating with cross-functional teams to implement solution.
What do you need to succeed?
Must have
- University degree or equivalent education
- Experience conducting Compliance surveillance reviews and/or developing and implementing Compliance policies and procedures.
- Ability to work and flourish in a fast-paced environment
- Ability to work independently, managing various high priorities
- Experience in the securities regulatory environment
- Strong verbal and written communication skills
- Advanced Excel user
Nice to have
- Data analysis experience
- Securities industry related courses and qualification
**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 through:
- Leaders who support your development through coaching and managing opportunities
- Working in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking
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:
2025-08-20
Application Deadline:
2025-09-19
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.
Manager, Disclosure & Trading Compliance
Top Benefits
About the role
Job Description
What is the opportunity?
The Manager, Trading Disclosure Compliance is a key member of the Canada Control Room team, responsible for overseeing the firm’s Employee Compliance Monitoring programs with a focus on personal account dealing, employee disclosures, and monitored employe oversight. This role plays a critical part in safeguarding the firm’s Information Barriers by ensuring that employes with access to material non-public information, confidential information, insider, or confidential information comply with all applicable trading restrictions and disclosure requirements. The Manager, also serves in an advisory capacity, providing expert guidance to employees, business leaders, and other stakeholders on compliance obligation, personal trading restrictions, and information barrier protocols.
What will you do?
- Oversee the day-to-day operations of the Employee Disclosure and Personal Trading Monitoring program within the Control Room, ensuring timely and accurate processing of all disclosures, account dealing
- Conducting annual and routine ad hoc training of all supported business segments
- Provide guidance and advise to employees across all levels within the firm, including Senior Executive
- Provide real-time support for trade preclearance request
- Onboard employes to the monitoring program and maintain accurate monitor profiles
- Assist in data validation and reconciliation efforts to ensure accuracy in monitoring reports and employee profiles
- Review daily and monthly trade reports, outside business activities and private investment request to identify and escalate potential conflict of interest or compliance concerns
- Manage escalation review, investigate potential breaches, and determine appropriate follow-up actions in consultation with senior compliance management team
- Provide advisory support to employees and business units regarding personal trading rules, disclosure requirements, and information barrier protocols, ensuring clarify and consistency in guidance
- Participate in a rotation to provide coverage for the Control Room Compliance Hotline during business hours, ensuring timely and professional responses to inquiries.
- Ensure compliance for employees classified as “monitored” due to access to material non-public information, confidential information, inside information, upholding strict adherence to the firm’s information barrier program
- Proactively identify potential compliance issues and trends within monitoring data, raising concerns to senior management
- Collaborate with IT, operations, and regional Compliance colleagues to improve data integrity, reporting capabilities, and automation of compliance monitoring system.
- Assist with responding to compliance-related audit examinations, regulatory requests, and internal investigations involving all supported business segments
- Drive continuous improvement initiatives by identifying gaps or inefficiencies in the monitoring program and collaborating with cross-functional teams to implement solution.
What do you need to succeed?
Must have
- University degree or equivalent education
- Experience conducting Compliance surveillance reviews and/or developing and implementing Compliance policies and procedures.
- Ability to work and flourish in a fast-paced environment
- Ability to work independently, managing various high priorities
- Experience in the securities regulatory environment
- Strong verbal and written communication skills
- Advanced Excel user
Nice to have
- Data analysis experience
- Securities industry related courses and qualification
**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 through:
- Leaders who support your development through coaching and managing opportunities
- Working in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking
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:
2025-08-20
Application Deadline:
2025-09-19
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.