Compliance Analyst (6 month contract)

RBC; Toronto; On-site; CAD 60,000 - 80,000; Full time

Job summary

A leading Canadian bank is seeking a Compliance Analyst. In this role, you will manage the banking’s personal trading policy, conduct compliance reviews, and support business operations. The ideal candidate has a university degree and at least 2 years of experience in financial services. This is a full-time contract position with opportunities to develop working relationships within the bank.

Qualifications

• 2+ years of experience in the financial services industry.
• Demonstrated knowledge of applicable regulatory and internal policy requirements.
• Ability to work independently, managing various high priorities.

Responsibilities

• Administer the Capital Markets and Enterprise Personal Trading Policy.
• Conduct daily reviews of employee disclosures.
• Serve as main point of contact for Monitored Employees.

Skills

Audits Compliance

Critical Thinking

Data Gathering Analysis

Decision Making

Industry Knowledge

Internal Controls

Interpersonal Relationship Management

Product Services

Risk Management

Strategic Thinking

Education

University degree or equivalent education

Job description

Job Summary

Job Description

What is the opportunity?

As Compliance Analyst, you are accountable for the administration of RBC Enterprise personal trading policy internal control framework with respect to information barriers, personal trading and conflicts of interest. You will conduct monitoring and testing as assigned, identify potential conflicts of interest and escalate to management as required. You will also develop and maintain strong working relationships with business management in order to adequately support the business.

*This is a 6 month contract role*

What will you do?

• Administer the Capital Markets and Enterprise Personal Trading Policy, by ensuring that employees newly identified as being subject to the program are (a) correctly categorized (eg. subject to RBC windows, other trading restrictions, required to pre-clear, required to bring personal and related person accounts to approved dealer), and (b) apprised of and perform their responsibilities under the policy. This includes collecting the Employee Disclosure Forms when employees are made subject to the policy and the annual refreshment
• Conduct daily reviews of employee disclosures and perform initial outreach to employees to address gaps or clarify information
• Conduct regular reviews of employee trade statements to ensure compliance with firm policies, including follow-ups for accounts held externally
• Serve as main point of contact for Monitored Employees regarding disclosure requirements and policy interpretation
• Distribute Employee Disclosure Form to RBC and RBCCM new hires/transfers; act as employee facilitator; respond to queries; follow-up with non-respondents; and escalate to management or department heads as necessary
• Assist with the maintenance of MyComplianceOffice (MCO) data on employee profiles
• Handle the compliance phone line, triaging and responding to inquiries or escalating matters as appropriate

What do you need to succeed?

Must have

• University degree or equivalent education
• 2+ years of experience in the financial services industry
• Demonstrated knowledge of applicable regulatory and internal policy requirements, and all others as applicable
• Ability to work and flourish in a fast-paced environment
• University degree or equivalent education
• Ability to work independently, managing various high priorities

Nice to have

• Securities industry related courses and qualifications are a key asset

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

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:

2025-07-30

Application Deadline:

2025-08-16

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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