Associate Director - Compliance Advisory

RBC; London; On-site; GBP 80,000 - 120,000; Full time

Job summary

A prominent bank seeks an Associate Director to join their Capital Markets Compliance team in London. This role involves advising on regulations, conducting risk assessments, and collaborating with teams to ensure compliance across operations. The successful candidate will require a strong background in financial regulations, particularly in Futures and Commodities, and will play a crucial role in enhancing compliance practices.

Benefits

Comprehensive Total Rewards Program

Flexibility and competitive compensation

World-class training program

Opportunities for professional development

Qualifications

• Experience in product advisory Compliance.
• Knowledge of UK and European financial services legislation, particularly for Futures and Commodities.
• Ability to draft clear and accurate regulatory guidance.

Responsibilities

• Advise on compliance with current and future legislation.
• Conduct annual risk assessment challenge.
• Design and maintain compliance policies and training.

Skills

Audits Compliance

Critical Thinking

Data Gathering Analysis

Decision Making

Financial Regulation

Industry Knowledge

Interpersonal Relationship Management

Product Services

Risk Management

Strategic Thinking

Job description

Job Summary

Job Description

What is the opportunity?

Associate Director within the Capital Markets Compliance team for RBCCM Europe, with responsibility for supporting the Head of Futures, Commodities & CFG Compliance Advisory Europe, in relation to all relevant Global Markets front office advisory activities in respect of RBCEL, RBCEG and RBC London Branch.

What will you do?

• Advise on the application of current and future legislation for the conduct of business for the European operations;
• Issue guidance as and when required to the front office regarding current or new regulatory requirements issued by the FCA and other relevant bodies;
• Conduct annual risk assessment challenge in the Reg Comp tool of 1LOD risk assessments for spreads and macro businesses in the UK;
• Identify control/governance gaps and raise issues in RCM, working with the 1LOD to identify appropriate owners, deadlines and required evidence of remediation;
• Designing and maintaining policies and procedures to address identified regulatory risks;
• Devising and delivering Compliance training to businesses which comprise primary areas of responsibility;
• Collaborating with colleagues in the Trade Surveillance and Desk Monitoring team to identify ways to enhance our programs and incorporate any relevant issues arising from the interaction with the businesses;
• Review, advise and draft appropriate text from a compliance perspective for New Business Committee proposals emanating from businesses which comprise primary areas of responsibility;
• Assisting with desk monitoring activities to determine adherence with FCA conduct of business rules;
• Advise and assist Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to the transitioning of businesses which comprise primary areas of responsibility;
• Conducting and reporting on compliance investigations of RBCCM businesses captured by primary areas of responsibility as required;
• To be an integral part of the compliance team, assisting other team members and undertaking ad-hoc assignments as required;

What do you need to succeed?

• Experience in product advisory Compliance
• Knowledge of primary and secondary UK and European financial services legislation, in particular as it relates to the Futures, Commodities and CFG business.
• Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;
• Good knowledge of Futures products and Exchange requirements;
• Strong stakeholder management skills
• Adaptable to a dynamic work environment with changing priorities
• Ability to draft clear and technically accurate regulatory guidance, policies and procedures;
• Ability to assist in devising appropriate compliance desk monitoring programmes;
• Ability to articulate regulatory issues to key relationship contacts;
• Ability to maintain the confidentiality of sensitive information

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

Agency Notice

RBC Group does not accept agency resumés. Please do not forward resumés 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 resumés. 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:

2025-06-16

Application Deadline:

2025-06-27

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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