Manager, Compliance Advisory, Global Markets

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

Job Description

We are seeking a dynamic and experienced Manager, Capital Markets Compliance to join our team. In this role, you will partner effectively with the various lines of businesses under Global Markets to provide compliance guidance on business and regulatory projects and initiatives. This role will be responsible for performing monitoring activities, providing timely responses to regulatory inquiries by liaising closely with the business partners. You will be playing a key role in strengthening RBC’s commitment to regulatory excellence and operational integrity.

What is your opportunity?

We are seeking a dynamic and experienced Manager, Capital Markets Compliance to join our team. In this role, you will partner effectively with the various lines of businesses under Global Markets to provide compliance guidance on business and regulatory projects and initiatives. This role will be responsible for performing monitoring activities, providing timely responses to regulatory inquiries by liaising closely with the business partners. You will be playing a key role in strengthening RBC’s commitment to regulatory excellence and operational integrity.

What will you do?

• Compliance Monitoring and Guidance: Conduct periodic review to ensure the covered subject business is compliant with applicable regulations and policies. Develop new monitoring reviews as a result of new or update in regulations and/or business initiatives.

• Regulatory Compliance Management: Perform rolling risk assessments for the coverage lines of business and provide effective challenge to the 1LOD assessment and control. Additionally, provide support on regulatory change impact assessment, issues management, and trigger event assessment.

• Regulatory Inquiries: Work closely with 1LOD and other compliance team colleagues for timely responses to the regulatory inquiries. Develop compliance monitoring program through surveillance or advisory team for any emerging theme that may come out from the regulatory inquiries.

• Advisory Oversight: Review and provide effective challenge where appropriate on 1LOD responses to surveillance alerts.

• Policy Development and Enhancement: Assist in the development and maintenance of up-to-date policies and procedures for all business lines covered. Communicate and socialize the policy updates to the relevant stakeholders.

• Initiatives and Special Projects: Assist the team during the annual compliance firm element training review and preparation process. Coordinate and draft key components of Compliance quarterly trade desk reports. Participate and complete ad hoc assignments and projects as assigned.

What do you need to succeed?

• Educational Background: Bachelor’s degree in Finance, Business Administration, or a related field; advanced degrees (e.g., MBA) or relevant professional certifications (e.g., CFA) are considered an asset.

• Industry Experience: 3-5 years of experience in compliance, supervision or regulatory roles within Capital Markets.

• Regulatory Knowledge: Good understanding of securities laws/regulations applicable to CIRO/CSA/MX regulated entities.

• Communication Skills: Excellent written and verbal communication skills, with the ability to articulate complex regulatory concepts to senior management and business stakeholders.

• Attention to Detail: High level of accuracy and attention to detail in assessing compliance risks and monitoring regulatory adherence.

• Adaptability: Ability to facilitate and manage initiatives and demonstrate impact and influence across multiple businesses and levels of management.

• Relationship Management: Strong interpersonal skills to build collaborative relationships with internal teams, regulators, and external stakeholders.

Nice-to-have

• CFA

• CSC, CPH, Derivatives Courses offered by CSI

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

• The opportunity to interface with executives from many different parts of the organization

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: 2025-10-06

Application Deadline: 2025-12-15

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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