Associate Director, Employee Compliance

RBC; London; On-site; GBP 55,000 - 80,000; Full time

Job summary

RBC is seeking a Compliance Officer in London to oversee employee compliance management. The role involves supervising compliance activities and requiring significant familiarity with regulatory frameworks like FCA, alongside skills in project management and teamwork. Join RBC's dedicated team and make a lasting impact in a dynamic financial environment.

Benefits

Comprehensive Total Rewards Program

World-class training program in financial services

Flexible working options

Opportunities for professional development

Qualifications

• Experience delivering compliance systems/tools.
• FCA conflict management knowledge and experience.
• Experience with regulatory project delivery in financial services.

Responsibilities

• Day-to-day supervision of the Employee Compliance team.
• Central contact for business and function managers for escalations.
• Deputise for Head of Employee Compliance as needed.

Skills

Audits Compliance

Critical Thinking

Data Gathering Analysis

Decision Making

Industry Knowledge

Internal Controls

Interpersonal Relationship Management

Product Services

Risk Management

Strategic Thinking

Education

Final degree level in finance or business

Job description

Job Summary

Job Description

What is the opportunity?

To join a hardworking, dedicated and proactive team, integral to the delivery of RBC’s core conflicts management activities.

As a key element of the Group Compliance function, Employee Compliance interacts with other Compliance Teams, functional teams (such as HR, Law Group and Finance) and, most importantly, RBC’s client-facing teams across its Capital Markets, Wealth Management and Investor Services platforms – offering a great opportunity to gain real exposure to and understanding of all areas of a large financial institution.

What will you do?

• The responsibilities of this role will include day-to-day supervision and act as an escalation point for the RBC Europe Employee Compliance team.
• Act as a central point of contact for Business and Function senior management to address day-to-day enquiries and escalations.
• Deputise for Head of Employee Compliance as required, including attendance at key governance forums.

What do you need to succeed?

Must-have

• Experience of delivering/implementation compliance systems/tools to help manage employee conflicts;
• Previous experience of employee conflicts management systems, processes and policies and the FCA's conflict management focused rules and regulations (e.g. FCA COBS and/or SYSC).
• Reasonable understanding of financial services and/or legal sector and experience of delivering change, including regulatory and compliance change, within those sectors.
• Experience in creating and tracking project plans and delivering regulatory projects within financial services.
• Experience in making judgements from applying policies and processes to non-routine scenarios with imperfect information.
• Be comfortable in a fast-paced environment, where non-routine and/or complex issues are common
• Be able to handle complex issues, projects, and processes.
• Demonstrate strong moral and ethical principles. A willingness to learn, accept accountability, demonstrate initiative and support effective co-operation.

Nice-to-have

• Preferably educated to at least final degree level, ideally in a subject that can support the role (e.g. finance, business, etc).

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 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, Industry Knowledge, Internal Controls, 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:

2025-05-21

Application Deadline:

2025-07-08

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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