Associate Director, Capital Markets Advisory

RBC; Toronto; On-site; CAD 75,000 - 100,000; Full time

Job summary

A leading company in financial services is seeking a Capital Market Compliance Advisor to support compliance efforts within Global Equities and related business units. This role involves providing compliance expertise, assisting with regulatory projects, and exchanging insights on market developments. Ideal candidates should possess a strong background in compliance, relevant financial education, and experience working with equity products.

Benefits

Comprehensive Total Rewards Program

Flexible benefits

Eligibility for bonuses

Competitive compensation

Dynamic and collaborative team environment

Qualifications

• Market Structure experience required.
• Relevant work experience within a broker dealer, in Capital Markets.
• Completion of the Canadian Securities Course and Conduct and Practices Handbook Exams.

Responsibilities

• Provide compliance guidance and support to Capital Markets teams.
• Assist in regulatory inquiries and compliance program development.
• Prepare compliance awareness bulletins and conduct risk assessments.

Skills

Business

Compliance Assessments

Critical Thinking

Decision Making

Financial Regulation

Risk Compliance

Strategic Thinking

Education

Bachelor degree (Finance, Economics, related)

Job description

Job Summary

Job Description

What is the opportunity?

The role of Capital Market Compliance (Advisory) will be supporting Global Equity Sales and Trading(“GE”), Global Equity Derivatives(“GED”) and the Wealth Management Agency desk(“WMA”).

What will you do?

• Work in collaboration with a team of Capital Markets Compliance Advisory professionals to provide guidance and support to business partners including trade supervision team within the Capital Markets Global Equities. Lines of businesses include GE, GED and WMA.
• Support business and functional partners as a subject matter expert from compliance in regulatory projects.
• Assist in regulatory inquiries, examinations, and reporting responses.
• Assist in the development of compliance programs with respect to Equity and Equity Related Products, including maintenance of policies and procedures.
• Assist in the planning and execution of remediation plans in response to external or internal identified issues.
• Prepare Compliance awareness bulletins on escalated compliance issues or identified areas of risk.
• Conduct the compliance risk assessment of all equity-related “new business committee” proposals.
• Monitor regulatory development and operationalize the changes into internal controls, policies and procedures.
• Coordinate with functional partners within operations and technology where required to investigate and address regulatory related issues and changes.
• Monitor industry trends, changes, and fines and conduct lessons learned analysis where required.
• Conduct RCM related activities including collaboration with first line of defense to complete Regulatory Compliance Management risk assessments.
• Support quarterly and annual reporting by submitting updates related to the Global Equities line of business.
• Prepare and deliver annual and ad hoc trainings.
• Ad hoc assignments as assigned.
• Represent the team on necessary industry and regulatory working groups.
• Conduct periodic review to ensure the covered subject business is in compliance with applicable regulations and policies.
• Develop second line monitoring review where appropriate on the back of new regulations or material changes to an existing regulation.

What do you need to succeed?

• University: Bachelor degree (Finance, Economics, related)
• Market Structure experience required
• Relevant work experience within a broker dealer, in Capital Markets (front, mid, back office) or equivalent experience with a Regulators specializing in equities and listed derivatives.
• Completion of the Canadian Securities Course and Conduct and Practices Handbook Exams and Trader’s training.
• University degree in business, finance, economics or other related discipline combined with +5 years of progressive Compliance or related experience.
• Strong presentation skills in a group setting.
• Strong communication skills

What’s in it for you?

We thrive on the challenge to be our best and work 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 flexible benefits and eligibility for bonuses, and competitive compensation.

• Work in a dynamic, collaborative, progressive, and high-performing team.

• Opportunities to take on progressively greater scope of work.

Job Skills

Business, Compliance Assessments, Compliance Awareness, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Risk Compliance, 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:

2025-06-16

Application Deadline:

2025-07-01

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion 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.

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