Associate Director, Compliance Projects & Advisory

RBC Dominion Securities; Toronto; On-site; CAD 90,000 - 130,000; Full time

Job summary

RBC Dominion Securities is seeking an Associate Director in Compliance Projects & Advisory. This role is vital in bridging business needs with compliance requirements, focusing on policy development and offering advisory support. Candidates should possess extensive experience in compliance, policy formulation, and regulatory guidance within the financial sector. The role promises significant opportunities for collaboration, leadership, and strategic influence in a highly respected financial institution.

Benefits

Comprehensive Total Rewards Program

Development opportunities through coaching

Work in a progressive and collaborative team

Qualifications

• 7+ years of financial industry/compliance experience.
• Significant policy development experience.
• In-depth knowledge of securities laws/regulations.

Responsibilities

• Creating and maintaining compliance policies and procedures.
• Providing compliance input for WM Canada businesses.
• Conducting impact assessments of new securities regulations.

Skills

Compliance expertise

Policy development

Analytical skills

Leadership

Communication skills

Education

University degree (business, finance, economics, law)

Tools

Microsoft Office (Access, Word, Excel)

Job description

Associate Director, Compliance Projects & Advisory

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Job Summary

This role serves as a key link between the RBC Wealth Management Canada (WMC) Head Office businesses and WMC Compliance.

Job Summary

This role serves as a key link between the RBC Wealth Management Canada (WMC) Head Office businesses and WMC Compliance.

Job Description

What is your opportunity?

As Associate Director, you will partner effectively with the WMC businesses to provide compliance guidance and expertise on business and regulatory projects and initiatives. Additionally, this role will be responsible for all policy development, maintenance and implementation for RBC Dominion Securities (DS) Retail and will also provide policy support to the other WM Canada businesses, as needed.

What will you do?

• Creating, revising, and maintaining all RBC DS compliance policies and procedures to include new regulatory requirements or a change in business practices and communicating such changes.
• Providing policy support, as needed, to the other WMC businesses, including providing compliance input from a WMC perspective on proposed updates to Enterprise policies and procedures and leading the implementation of such Enterprise policies for WM Canada.
• Representing compliance interests of WM Canada on complex issues that require integrated solutions or joint responses through cross-enterprise working groups and other internal and industry committees.
• Providing advisory support and project expertise to WM head office groups as a compliance subject matter expert.
• Conducting impact assessments of new and proposed securities regulatory requirements and leading and/or participating on working groups to address new regulatory requirements for the purpose of implementation and ensuring compliance with regulations and firm policy.
• Providing compliance input on the creation and revision of WMC account documentation, including the revision of the client account agreement, as required.
• Providing support to Compliance staff including Trade Surveillance, Compliance Advisory team, Branch Review team, Regulatory Investigations and Inquiries and head office functional groups (e.g. Law Group) on policy interpretation, projects/initiatives and implementation.
• Coordinating and drafting key components of WMC Compliance quarterly reporting.
• Providing support on Regulatory Compliance Management (RCM), including monitoring and testing, as required.
  
  

What do you need to succeed?

• 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
  
  

What’s in it for you?

We thrive on the challenge to be our best, thinking progressively 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
• 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
  
  

Job Skills

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:

Contract (Fixed Term)

Pay Type:

Salaried

Posted Date:

2025-06-18

Application Deadline:

2025-07-05

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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Seniority level

• Seniority level

  Not Applicable

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Banking and Financial Services

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