Job description: Job Summary

Job Description

What is the opportunity?

The Director will head the Canadian FICC Advisory team and be responsible for providing leadership in the implementation and maintenance, within the context of RBC’s Enterprise Compliance Management Framework, of compliance programs and controls across the Global Markets business, within RBC’s Capital Markets (CM) businesses in Canada. Product coverage includes FICC (fixed Income, listed/OTC derivatives, commodities, FX), I&TS execution desks in CM and Central Funding.

What will you do?

• Act as the Rates subject matter expert – providing transactional advice and guidance, as required
• Head up and Partner with the business to implement appropriate controls designed to detect and mitigate compliance and regulatory issues and to achieve effective management of the compliance program within the Global Markets business
• Manage the rule universe, control mapping (Tier 1,2) and trigger event analysis as part of OSFI E13 requirements for Regulatory Compliance Management
• Develop and maintain up-to-date policies and procedures and control processes to address the identified risks
• Together with the Director, Surveillance, ensure that RBC Dominion Securities has an effective monitoring program
• Schedule recurring and ad hoc meeting with Desk Heads and Business Heads to provide compliance updates and escalate risks and compliance issues, as required
• Prepare and deliver in-person training and guidance on emerging regulatory developments/issues
• Lead projects as assigned by the business, CM Compliance, Legal

What do you need to succeed?

Must-have

• 7+ years of compliance experience in a financial institution, including a broker-dealer (ideally within a financial conglomerate) and/or Capital Markets, regulator and/or other comparable environment
• Proficient and expertise across FICC businesses
• Leadership experience and a proven track-record of success in managing a successful group
• Completion of the Canadian Securities Course and Conduct and Practices Handbook Exam
• Strong communication and presentation skills in a group setting
• A University degree (Finance, Economics, related)

Nice-to-have

• Deals with highly complex issues, projects and process
• Strong organizational skills
• Attend relevant industry events

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.

• 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 senior level executives from many different parts of the organization

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: ROYAL BANK PLAZA, 200 BAY ST:TORONTO

City: TORONTO

Country: Canada

Work hours/week: 37.5

Employment Type: Full time

Platform: Law and Compliance

Job Type: Regular

Pay Type: Salaried

Posted Date: 2023-12-13

Application Deadline: 2024-01-13

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.

We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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Expected salary:

Location: Toronto, ON

Job date: Fri, 15 Dec 2023 07:04:05 GMT

Apply for the job now!

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