Associate Director, Private Side Advisory, Control Room (Compliance)

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

Job summary

A leading financial institution in Toronto is seeking an experienced professional to manage Regulatory Compliance Management and oversee compliance audits in the Control Room. The role includes conducting training sessions across business segments and maintaining strong advisory relationships on regulatory matters. Ideal candidates will possess a university degree and have over five years of relevant experience in compliance within Capital Markets. This position offers a full-time commitment with various employee benefits.

Benefits

Comprehensive Total Rewards Program

Professional development opportunities

Collaborative work environment

Qualifications

• 5+ years of progressive Compliance or related experience.
• Relevant work experience within a broker dealer, ideally in Capital Markets.
• Knowledge and experience with Capital Markets products and services.

Responsibilities

• Manage Regulatory Compliance Management and Regulatory Change.
• Conduct training for all business segments supported by the Control Room.
• Respond to Control Room related audit examinations and regulatory requests.

Skills

Regulatory Compliance Management

Risk Management

Auditing

Interpersonal skills

Education

University degree in business, finance, economics or related discipline

Job description

Job Description

What is your opportunity?

You will be responsible for management of Regulatory Compliance Management, Regulatory Change, and Issue Management as it relates to the Control Room. You will conduct annual and ad‑hoc in person training for all business segments supported by the Control Room and respond to Control Room related audit examinations, regulatory requests, and internal investigations involving all supported business lines. You will also establish and maintain relationships as a trusted Advisor on regulatory compliance, reputational and risk management matters to all private‑side business units within RBC Capital Markets (Canada).

What will you do?

Control Room Oversight

• Ensuring regulatory compliance issues and concerns are identified and resolved for supported business segments.
• Timely responses to compliance‑related audit examinations, regulatory examinations, regulatory requests, and internal investigations involving all supported business.
• Driving annual policy, process, and procedural reviews for the Canadian Control Room.
• Assisting with managing information barriers, conflict clearance, conflicts of interest, and procedures for RBC Capital Markets (Canada), including but not limited to the RBCCM Information Barriers Policy.
• Monitoring industry and regulatory developments relating to insider trading, tipping, UMIR 7.7, conflicts of interest, etc. including conducting an impact analysis and communicating any impact to senior management of affected business units.
• Collaborate with regional Compliance colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers.
• Manage and oversee the monitoring and testing program of the Canadian Control Room.

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.
• Relevant work experience within a broker dealer, ideally Capital Markets (front, mid, back office) or equivalent experience with Regulators.
• Knowledge and experience with Capital Markets products and services.

Nice to have

• 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.

• 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

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: Regular

Pay Type: Salaried

Posted Date: 2025-08-27

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.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.