Global Markets Compliance Manager: Advisory & Monitoring

RBC; Toronto; On-site; CAD 80,000 - 100,000; Full time

Job summary

A leading financial institution based in Toronto is seeking a Manager, Capital Markets Compliance. The candidate will ensure compliance with regulations, manage regulatory inquiries, and enhance policy development. Ideal applicants have a Bachelor's degree in a relevant field, 3-5 years in compliance, and excellent communication skills. The role offers competitive benefits and opportunities for professional growth.

Benefits

Comprehensive Total Rewards Program including bonuses and flexible benefits

Coaching and development opportunities

Collaborative and agile work environment

Qualifications

• 3-5 years of experience in compliance, supervision, or regulatory roles within Capital Markets.
• Good understanding of securities laws/regulations applicable to CIRO/CSA/MX regulated entities.

Responsibilities

• Conduct periodic reviews to ensure compliance with applicable regulations and policies.
• Perform rolling risk assessments for the coverage lines of business.
• Work closely with 1LOD for timely responses to regulatory inquiries.
• Assist in the development and maintenance of up-to-date policies and procedures.

Skills

Communication Skills

Attention to Detail

Relationship Management

Adaptability

Education

Bachelor’s degree in Finance, Business Administration, or related field

Advanced degrees (e.g., MBA) or relevant professional certifications (e.g., CFA)

Job description

A leading financial institution based in Toronto is seeking a Manager, Capital Markets Compliance. The candidate will ensure compliance with regulations, manage regulatory inquiries, and enhance policy development. Ideal applicants have a Bachelor's degree in a relevant field, 3-5 years in compliance, and excellent communication skills. The role offers competitive benefits and opportunities for professional growth.