Compliance Analyst (6 month contract)

0000050599 RBC Dominion Securities Inc.; Toronto; On-site; CAD 65,000 - 85,000; Full time

Job summary

A leading financial services firm in Toronto seeks a Compliance Analyst for a 6-month contract. You will administer personal trading policies and manage compliance disclosures. Ideal candidates have at least 2 years of experience and a degree. Strong organizational skills and regulatory knowledge are essential. This role offers a salaried position working 37.5 hours per week.

Benefits

Diversity and inclusion initiatives

Qualifications

• 2+ years of financial services experience.
• Strong analytical and communication skills.

Responsibilities

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

Skills

Knowledge of regulatory and internal policies

Ability to work in a fast-paced environment

Ability to work independently and manage priorities

Education

University degree or equivalent

Job description

Job Description

What is the opportunity? As a Compliance Analyst, you will be responsible for administering RBC's Enterprise personal trading policy and internal control framework related to information barriers, personal trading, and conflicts of interest. Your role involves monitoring, testing, identifying potential conflicts, and escalating issues to management. You will also develop strong relationships with business management to support their compliance needs.

Role Details:

• This is a 6-month contract role.

Key Responsibilities:

• Administer the Capital Markets and Enterprise Personal Trading Policy, ensuring employees are correctly categorized and understand their responsibilities, including collecting Employee Disclosure Forms and annual refreshment.
• Conduct daily reviews of employee disclosures and follow up to address gaps or clarify information.
• Review employee trade statements regularly to ensure compliance, including external accounts.
• Serve as the main contact for Monitored Employees regarding disclosure and policy interpretation.
• Distribute Employee Disclosure Forms to new hires/transfers, respond to queries, follow up with non-respondents, and escalate as needed.
• Maintain MyComplianceOffice (MCO) employee profile data.
• Handle inquiries via the compliance phone line, triaging and escalating as appropriate.

Qualifications:

Must Have:

• University degree or equivalent
• 2+ years of financial services experience
• Knowledge of regulatory and internal policies
• Ability to work in a fast-paced environment
• Ability to work independently and manage priorities

Nice to Have:

• Securities industry courses and qualifications

Additional Information:

Location: RBC Centre, 155 Wellington St W, Toronto, Canada

Work hours: 37.5/week

Employment type: Full-time, Contract (Fixed Term)

Pay type: Salaried

Posted date: 2025-07-30

Application deadline: 2025-08-16, 11:59 PM

RBC is committed to diversity and inclusion, fostering a respectful workplace that supports growth and opportunity for all.