Associate Director, Employee Dealings, Control Room (Compliance)

RBC; Toronto; On-site; CAD 150,000 - 200,000; Full time

Job summary

A major financial institution in Toronto seeks an Associate Director to manage compliance aspects within their Canadian Control Room. The role involves daily surveillance of trading activities, maintaining monitoring databases, and providing oversight on conflict of interest scenarios. Ideal candidates have over 5 years of compliance experience and a solid understanding of Canadian capital markets. The position is located at RBC CENTRE, allowing one to work within a collaborative and high-performing team environment.

Benefits

Comprehensive Total Rewards Program

Development support from leaders

Agile and collaborative work environment

Qualifications

• 5+ years of Compliance experience including conducting compliance and trade surveillance and reviews.
• Knowledge of trading and the Canadian capital markets.

Responsibilities

• Day-to-day surveillance of employee, client and firm trading.
• Maintain monitoring classification database for employees.
• Administer Business Supervisory Reports on personal trading.
• Manage employee conflict of interest monitoring program.
• Monitor regulatory developments and industry enforcement actions.
• Represent Compliance on internal committees.

Skills

Compliance experience

Knowledge of Canadian capital markets

Conducting compliance and trade surveillance

Education

University degree or equivalent education

Job description

Job Description

What is the opportunity?

As Associate Director, you will be responsible for managing aspects of the monitoring and testing within the Canadian Control Room and updates to related policies and procedures, including the RBC Capital Markets Personal Trading and Enterprise Personal Trading Policies. You will be a key relationship manager to the Research Department, including review and approval of research reports. You will also act as a Compliance Advisor for all private-side business units within RBC Capital Markets (Canada) and other businesses whose employees and/or trading are monitored by the Canadian Control Room.

What will you do?

• Day-to-day surveillance of employee, client and firm trading and communications to identify trading based on inside information
• Maintain a database of employees with their proper monitoring classification for both Capital Markets and RBC-Enterprise
• Administer Business Supervisory Reports with respect to personal trading and violations of applicable policies
• Daily management of the capital markets employee conflict of interest monitoring program, including review and approval of private investments and outside business activities
• Monitoring, conducting impact analyses and communicating relevant regulatory developments and industry enforcement actions on a timely basis
• Representing Compliance on internal committees to ensure that all regulatory compliance and reputational issues and concerns are identified and resolved

What do you need to succeed?

Must have

• University degree or equivalent education
• 5+ years of Compliance experience including conducting compliance and trade surveillance and reviews
• Knowledge of trading and the Canadian capital markets

Nice to have

• Securities industry related courses and qualifications

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

Location

RBC CENTRE, 155 WELLINGTON ST W, TORONTO, Canada

Legal

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth. Maintaining a workplace where our employees feel supported to perform at their best and effectively collaborate helps 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.