Associate Director - Compliance Advisory | London, UK

Royal Bank of Canada; London; On-site; GBP 80,000 - 120,000; Full time

Job summary

The Royal Bank of Canada seeks an Associate Director in Compliance Advisory to support regulatory compliance across European operations. This role involves advising on legislation, conducting risk assessments, and providing training to ensure compliance within the Capital Markets team. Candidates should have extensive experience in compliance and a solid understanding of UK financial regulations.

Benefits

Comprehensive Total Rewards Program

Opportunities for professional development

Flexible benefits and competitive compensation

World-class training program

Qualifications

• Experience in product advisory Compliance.
• Knowledge of UK and European financial services legislation.
• Ability to draft clear regulatory guidance.

Responsibilities

• Advise on application of current and future legislation.
• Conduct annual risk assessments.
• Design and maintain compliance policies.

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

Associate Director - Compliance Advisory

Associate Director - Compliance Advisory

Royal Bank of Canada London, United Kingdom

Associate Director - Compliance Advisory

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

I nclusion 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

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.

Boost your career

Find thousands of job opportunities by signing up to eFinancialCareers today.