Client Controls Business Associate

rbc; City Of London; Presencial; GBP 65.000 - 90.000; Jornada completa

Descripción de la vacante

RBC is seeking a Client Controls Associate to join the Chief Administration Office in either the Newcastle or London office. You will support risk and control assessments, regulatory compliance, and oversight of fee-related tooling in a collaborative, fast-paced environment.

The role requires engagement with senior stakeholders, participation in governance forums, and attention to control enhancements across multiple office locations.

Formación

• Experience in risk and controls within Front Office environments.

Responsabilidades

• Support execution of the Operational Risk Framework for Front Office risk and control assessments.

Conocimientos

Risk management

Regulatory knowledge

Stakeholder management

Analytical thinking

Attention to detail

Educación

Bachelor's degree in Finance or related field

Herramientas

Excel

Power BI

Descripción del empleo

Job Description

What is the opportunity?

We have an exciting opportunity for a Client Controls Associate to join our Chief Administration Office in either our Newcastle or London office.

The Client Controls Associate reports to the Client Controls Manager and is part of the Front Office Risk Governance and Business Management team in CAO. The team, play a key role in supporting client facing teams by Identifying business risks, operating events and regulatory triggers which could have an impact on the operation of the Front Office and Client Risk. The team are responsible for aligning and maintaining the standards set across WME related to the management of digital Risk and Controls Self Assessments (RCSA's), Regulatory Compliance Management (RCM) framework and annual attestation as well as the regular maintenance of the Front Office Controls Register.

The team are also expected to support investigation related to emerging risks and manage a framework to govern business changes against the expectations set by the RBC Risk Taxonomy and compensating controls. In addition, the role holder is also responsible as a product owner for Front Office Fees. This relates to the ongoing oversight and support needed to maintain BAU from a Fees tooling perspective and includes the management of the Fee Anomalies, FIT tool (FIF/A support as required), Fee Bots and comparison tools. The Associate is also expected to attend the relevant governance forums and committees which requires a Fees product owner to represent oversight of the status, risks and actions.

RBC's expectation is that all employees and contractors will work in the office with some flexibility to work up to 1 day per week remotely.

What will you do?

• Support execution of the Operational Risk Framework for RBC BD Front Office, including Risk and Control Assessments (RCSAs) at risk and process levels
• Support the identification and development of process enhancements (including control enhancements) and development of smarter process outcomes.
• Support product owner for CFT Fees, including the management of Fee Anomalies, Fee Instruction Tool (FIT) and support for FIF/A (as necessary till retiring the tool) as well as oversight and proactive management of Fee related tools (Fee bots, comparison tools, etc).
• Manage the mapping of key & non-key controls to the regulatory risk themes and support Regulatory Compliance with the annual risk questionnaire calculation to develop the regulatory risk assessment for CFT
• Produce and monitor effective and detailed Management Information and other key metrics data, as required.
• Organisation and delivery of targeted training for Client Facing Teams across multiple office locations, where required.
• Deliver monthly and quarterly attestation as required (i.e. Fee anomalies, FSCS attestations)
• Continual review of controls framework to ensure that controls are appropriate for the risk area.
• Assist internal and external auditors, provide support in process walkthroughs and source evidence as required.
• Supporting the Head of Function with regards to Compliance Monitoring / Financial Crime actions / data privacy, data security and Conflicts of Interest related matters and other new regulations (Head of Function may require wider team members to support initiatives depending on priority, severity of risk exposure or as cover where team members may be absent)
• Deliver regular management reporting and clear insight on the effectiveness of implemented solutions of selected end-to-end complex Client Facing processes, including the preparation of meeting materials and artefacts.

What do you need to succeed?

Must-have

• Experience working in a similar industry and are keen to progress in the risk and controls area across the Front Office.
• A strong understanding of risk and effective controls.
• Ability to communicate with colleagues and develop and maintain effective working relationships at senior levels.
• Strong analytical and problem solving skills

Nice-to-have

• Able to take the lead on initiatives and drive solutions
• Intellectual curiosity with desire for self improvement

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.

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.

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 unsoli