RBC

Associate Director, Compliance Projects – Advisory

RBC

contract

Posted on:

Location Type: Office

Location: Toronto • 🇨🇦 Canada

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Job Level

Senior

About the role

  • Partner effectively with the WMC businesses to provide compliance guidance and expertise on business and regulatory projects and initiatives
  • Responsible for all policy development, maintenance and implementation for RBC Dominion Securities (DS) Retail
  • Provide policy support to the other WM Canada businesses, as needed
  • Create, revise, and maintain all RBC DS compliance policies and procedures
  • Provide compliance input from a WMC perspective on proposed updates to Enterprise policies and procedures
  • Represent compliance interests of WM Canada on complex issues that require integrated solutions or joint responses
  • Conduct impact assessments of new and proposed securities regulatory requirements
  • Provide compliance input on the creation and revision of WMC account documentation
  • Provide support to Compliance staff on policy interpretation, projects/initiatives and implementation
  • Coordinate and draft key components of WMC Compliance quarterly reporting
  • Provide support on Regulatory Compliance Management (RCM)

Requirements

  • 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
Benefits
  • 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

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
policy developmentsecurities lawsregulatory complianceimpact assessmentscompliance policiesfinancial industry experienceanalytical skillsproblem-solving skillsconsultative skillscreativity
Soft skills
written communicationoral communicationpresentation skillsgroup leadershipnetworkinginitiative managementinfluencecross-enterprise collaborationconceptual thinkingstakeholder engagement
Certifications
Canadian Securities Course