Associate Director, Deal Management, Control Room (Compliance)

RBC; Toronto; On-site; CAD 90,000 - 120,000; Full time

Job summary

A leading financial institution in Toronto is looking for an Associate Director to oversee compliance and relationship management within Capital Markets. The role requires over five years of experience in Compliance and thorough knowledge of Capital Markets products and services. Responsibilities include managing conflicts, quality assurance, and communication analysis. This full-time role offers a chance to be part of a high-performing team delivering trusted advice and maintaining compliance standards.

Benefits

Comprehensive Total Rewards Program

Development support through coaching

Agile and collaborative work environment

Qualifications

• 5+ years of progressive Compliance experience.
• Experience managing compliance information barriers program.
• Relevant broker dealer experience ideally in Capital Markets.

Responsibilities

• Manage relationships and deal statuses for various banking mandates.
• Ensure quality assurance across deal management programs.
• Analyze communications for adherence to policies.

Skills

Compliance management

Relationship management

Capital Markets knowledge

Education

University degree in business, finance, or related discipline

Job description

Job Description

What is the opportunity?

As Associate Director, you will be a key Relationship Manager and Compliance advisor for all private-side business units within RBC Capital Markets (Canada) and escalation of conflicts arising from Global Research. As well, you will assist with conflict identification process for the global Corporate and Investment Banking businesses.

What will you do?

• Relationship management and deal status update on Investment Banking, Corporate Banking, Debt Capital Markets, and Equity Capital Markets mandates
• Quality assurance on all aspects of deal management program (M&T, deal addition and updates, watch and restricted List management etc.)
• Analyze escalated communications, determining if employees are adhering to policies and regulations, and reporting to Management accordingly
• Management of the Global Investment Banking Conflict Identification procedures that are designed to address potential issues arising from the firm making commitments to one or more clients on mandates that might result in a real or perceived conflict between clients, the RBC Group or its employees
• Review and approve or elevate research reports to identify breaches of internal information barriers and / or inappropriate dissemination of inside or confidential information
• Conflict monitoring, testing and associated activities for trading and communications surveillance conducted by the Canadian Control Room
• Collaborating with regional Compliance colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers.

What do you need to succeed?

Must have

• University degree in business, finance, economics or other related discipline combined with +5 years of progressive Compliance or related experience.
• Experience managing compliance information barriers program
• Relevant work experience within a broker dealer, ideally Capital Markets (front, mid, back office)
• Knowledge and experience with Capital Markets products and services.

Nice to have

• Securities industry related courses and qualifications
• Completion of the Canadian Securities Course and Conduct and Practices Handbook Exams.

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.

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

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: 2025-12-11
• Application Deadline: 2026-01-17
• 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.