Associate Director, Compliance Advisory

RBC; City Of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading financial services organization is seeking a Compliance Advisor to support its Wealth Management team. The role includes ensuring compliance with UK regulations, providing guidance on regulatory requirements, and managing compliance-related projects. The ideal candidate has extensive experience in the financial services industry, strong interpersonal skills, and a strategic mindset. This position offers competitive compensation and opportunities for professional growth.

Benefits

Comprehensive Total Rewards Program

Flexible working options

World-class training program

Qualifications

• Good understanding of regulatory and industry best practices relating to Consumer Duty.
• Experience in managing strategic business and regulatory projects as a Compliance lead.
• Understanding Payment Service Regulations / Consumer Credit / Investment Management requirements.
• Extensive experience in a role requiring knowledge of UK Regulation and legislation applicable to Wealth Management.
• Ability to maintain an open relationship with stakeholders, including regulators.
• Excellent influencing skills and strong communication with senior management.
• Excellent planning, organisational skills and attention to detail.

Responsibilities

• Support compliance activities across the organization.
• Provide practical guidance on regulatory requirements.
• Lead regulatory analysis and compliance advice for new business propositions.
• Produce compliance assessments and engage stakeholders.
• Participate in compliance committee submissions and governance.
• Maintain and update compliance policies and procedures.

Skills

Critical Thinking

Financial Regulation

Risk Management

Audits Compliance

Data Gathering Analysis

Decision Making

Interpersonal Relationship Management

Strategic Thinking

Industry Knowledge

Product Services

Job description

Overview

To support the RBC Wealth Management Europe Compliance Advisory team to provide advice to the Private Wealth, and Banking and Credit, business areas across all new and existing products and services, and providing proactive solutions for business and regulatory change related projects from a Compliance and Regulatory Risk standpoint.

What you will do

• Support the activities of the Compliance Advisory team and champion the embedding of a compliance awareness culture throughout the business by proactively engaging with stakeholders at all levels of seniority. Conduct Compliance induction training, ad-hoc face-to-face Compliance engagement and training, and Compliance scenario-based training.
• Provision of practical guidance to the RBC Private Wealth Client Facing Team covering Investment Management and Private Banking products and services on the interpretation and application of regulatory requirements, industry codes of practice and internal policies and procedures.
• Detailed analysis, interpretation and practical application of new regulatory requirements and publications that impact RBC Private Wealth’s products and services
• Lead appropriate regulatory analysis and Compliance advice for new business propositions and services, taking into account wider regulatory requirements such as Consumer Duty, Consumer Credit, and Payment Services Regulations.
• Undertake the analysis and produce Compliance Assessments, as it relates to Compliance coverage area. This includes engagement with the stakeholders/Policy owners and, where relevant, preparing the applicable submissions for the governance committee(s).
• Provide input into compliance committee submissions, such as Wealth Management Europe (WME) Compliance Committee and WME ExCo. Attend and actively participate in relevant business governance committees, acting as a key contributor and decision maker for Compliance Advisory. As required, deputise for Head of Private Wealth UK Compliance Advisory.
• Maintaining and updating the relevant Compliance policies and procedures to reflect the changing business and regulations and maintaining the accuracy of the Regulatory Compliance Management system (RCM) for the business areas covered and participating in the compliance risk assessments.
• Support relevant Heads of Compliance in strategic business and strategic compliance initiatives, including projects related to the embedment of the RBC Brewin Dolphin business with RBC, and deputise at relevant project meetings as appropriate. Attend, lead and actively contribute to relevant business project meetings and regulatory project meetings and committees.

What you need to succeed

Must-have

• Good understanding of regulatory and industry best practices relating to Consumer Duty.
• Experience in managing strategic business and regulatory projects as a Compliance lead
• Understanding Payment Service Regulations / Consumer Credit / Investment Management requirements regarding Private Banking and wealth management activities throughout the client journey
• Experience in financial service industry and good understanding of the Wealth Management and Private Banking industry.
• Extensive experience in a role requiring knowledge of UK Regulation and wider legislation applicable to Wealth Management and Private Banking.
• Ability to maintain an open relationship with stakeholders on all levels, including regulators.
• Excellent influencing skills and strong ability to communicate effectively with senior management, providing direction and challenge where required.
• Excellent problem-solving skills and consistently displays evidence of lateral thinking when solving problems.
• Excellent planning, organisational skills and attention to detail.
• Ability to work under pressure and meet tight deadlines, consistently delivering within agreed deadlines.
• Ability to grasp new ideas and concepts quickly and use them effectively.
• Passion for continuous improvement.
• Positive and professional attitude with an enthusiastic approach to working in a team.

What is in it for you

We thrive on the challenge to be our best - progressive thinking 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, flexible benefits and competitive compensation
• Leaders who support your development through coaching and managing opportunities
• Opportunities to work with the best in the field
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• A world-class training program in financial services
• Flexible working options fully supported.

Agency Notice

RBC Group does not accept agency résumés. Please do not forward résumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited résumés. Please contact the Recruitment function for additional details.

Job Skills

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

Additional Job Details

Address: 100 Bishopsgate, London

City: London

Country: United Kingdom

Work hours/week: 35

Employment Type: Full time

Platform: CHIEF LEGAL & ADMIN OFFICE GRP

Job Type: Regular

Pay Type: Salaried

Posted Date: 2025-09-18

Application Deadline: 2025-10-02

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.