Associate Director, Capital Markets Compliance Advisory

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

Job summary

Join RBC as a Compliance Advisor, where you’ll oversee regulatory compliance within the Capital Markets division. This role requires a Bachelor's degree and significant experience in compliance, focusing on relationship management and developing compliance programs to ensure adherence to regulations. You will contribute to a collaborative environment dedicated to achieving mutual success through trusted advisory roles in regulatory matters.

Benefits

Competitive compensation and bonuses

Comprehensive Total Rewards Program

Flexible work/life balance options

World-class training program in financial services

Opportunities for professional development

Qualifications

• Over 5 years of progressive Compliance or related experience.
• Knowledge of Global Markets products such as equities and derivatives.
• Strong presentation skills in a group setting.

Responsibilities

• Maintain relationships with Global Markets business as a trusted advisor.
• Oversee compliance processes and escalate issues appropriately.
• Conduct compliance risk assessments for new business products.

Skills

Critical Thinking

Regulatory Compliance

Risk Compliance

Interpersonal Relationship Management

Decision Making

Data Gathering Analysis

Education

Bachelor’s Degree

University degree in business, finance, or economics

Completion of the Canadian Securities Course

Job description

Job Summary

Job Description

What is the opportunity?

This role will execute the responsibilities assigned to Compliance Oversight and Advisory Teams (COATs) within the Regulatory Compliance Management (“RCM”) Framework and program, across the Global Markets business, within RBC’s Capital Markets (“CM”) division. Establishing and maintaining relationships with the business and functions as a trusted Advisor on regulatory compliance, reputational and risk management matters. Oversee and monitor the adequacy and effectiveness of processes, controls and programs to ensure compliance with internal policies and external regulations.

What will you do?

• Supporting the CM CCO and Director in relationship management with the Global Markets business and supporting functions
• As a trusted Advisor, remain accessible and provide timely responses to business and function inquiries as it relates to regulatory compliance matters
• Escalate and report any concerns, issues and breaches of codes of conduct, policies and regulations to appropriate stakeholders and management, on a timely basis
• Assist in regulatory inquiries, examinations, and reporting responses
• Assist in the development and maintenance of compliance programs, including maintenance of policies and procedures
• In response to external (regulators) or internal audit issues develop, execute action plans dedicated to making appropriate modifications to correct the issue(s).
• Assist in developing and conducting quarterly trade desk reviews and the completion of quarterly and annual compliance reports.
• Prepare Compliance awareness bulletins on escalated compliance issues or identified areas of risk.
• Complete compliance risk assessments of new or updated business products or services (e.g. “new business committee” proposals)
• Monitor regulatory developments and provide support in operationalizing the changes, including developing and updating internal controls, policies and procedures.
• Prepare and deliver annual and ad hoc trainings.
• Ad hoc assignments and projects as assigned.

What do you need to succeed?

• Bachelor’s Degree
• Relevant work experience within a broker dealer, ideally Capital Markets (front, mid, back office) or equivalent experience with a Regulators
• Knowledge and experience with Global Markets products and services such as equities, Over-The-Counter Derivatives, Fixed Income, Foreign Exchange and Commodities and their associated regulations.
• Completion of the Canadian Securities Course and Conduct and Practices Handbook Exams.
• 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.

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.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• 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 work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities

Job Skills

Business, Compliance Programs, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Interpersonal Relationship Management, People Management, Product Services, Regulatory Compliance, Risk Compliance, Strategic Thinking, Waterfall Model

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:

2025-06-11

Application Deadline:

2025-06-26

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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