Manager, Disclosure & Trading Compliance - Capital Markets Compliance

RBC; Toronto; On-site; CAD 100,000 - 125,000; Full time

Job summary

A major financial institution in Toronto is seeking a Manager for Trading Disclosure Compliance. This role involves overseeing employee compliance monitoring, providing advisory support on compliance obligations, and managing potential breaches within a securities regulatory environment. The ideal candidate will have a university degree, advanced Excel skills, and at least 3 years of relevant experience. Join a collaborative team that values inclusivity and professional development in a dynamic financial setting.

Benefits

Comprehensive Total Rewards Program

Leadership coaching and development opportunities

Agile and high-performing team environment

Qualifications

• 3+ years of progressive compliance or related experience.
• Experience in the securities regulatory environment.
• Ability to manage high priorities.

Responsibilities

• Oversee the Employee Disclosure and Personal Trading Monitoring program.
• Support trade pre-clearance requests and review trade reports.
• Advisory support for personal trading rules and disclosure requirements.
• Investigate potential breaches and escalate issues.

Skills

Compliance surveillance reviews

Fast-paced environment

Independence

Verbal communication

Written communication

Advanced Excel

Education

University degree in business, finance, economics or related discipline

Job description

Job Description

What is your opportunity?

As the Manager, Trading Disclosure Compliance, you will be a key member of the Canada Control Room team, responsible for overseeing the firm’s Employee Compliance Monitoring programs with a focus on personal account dealing, employee disclosures, and monitored employee oversight. Your role plays a critical part in safeguarding the firm’s Information Barriers by ensuring that employees with access to material non‑public information, confidential information, insider or confidential information comply with all applicable trading restrictions and disclosure requirements. You will also serve in an advisory capacity, providing expert guidance to employees, business leaders, and other stakeholders on compliance obligation, personal trading restrictions, and information barrier protocols.

What will you do?

• Oversee the day‑to‑day operations of the Employee Disclosure and Personal Trading Monitoring program within the Control Room, ensuring timely and accurate processing of all disclosures, account dealing.
• Provide real‑time support for trade pre‑clearance requests.
• Review daily and monthly trade reports, outside business activities and private investment requests to identify and elevate potential conflict of interest or compliance concerns.
• Manage escalation reviews, investigate potential breaches, and determine appropriate follow‑up actions in consultation with senior compliance management team.
• Provide advisory support to employees and business units regarding personal trading rules, disclosure requirements, and information barrier protocols, ensuring clarity and consistency in guidance.
• Participate in rotation coverage for the Control Room Compliance Hotline during business hours, ensuring timely and professional responses to inquiries.
• Ensure compliance for employees classified as “monitored” due to access to material non‑public information, confidential information, inside information, upholding strict adherence to the firm’s information barrier program.
• Proactively identify potential compliance issues and trends within monitoring data, raising concerns to senior management.

What do you need to succeed?

• Experience conducting compliance surveillance reviews and/or developing and implementing compliance policies and procedures.
• Ability to work and flourish in a fast‑paced environment.
• Ability to work independently, managing various high priorities.
• Experience in the securities regulatory environment.
• Strong verbal and written communication skills.
• Advanced Excel user.
• University degree in business, finance, economics or other related discipline combined with 3+ years of progressive compliance or related experience.

Nice to have

• Data analysis experience.
• Securities industry related courses.

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.

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

2025‑12‑23

Application Deadline

2026‑01‑17

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.

Join our Talent Community

Join our Talent Community

Stay in‑the‑know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.

Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well‑being of our clients and communities at jobs.rbc.com.

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.