Managing Director, Global Head of Control Room | London, UK

Royal Bank of Canada; London; On-site; GBP 120,000 - 180,000; Full time

Job summary

A leading financial institution is seeking a Managing Director, Global Head of Control Room to oversee compliance and manage conflicts of interest. The role involves strategic leadership and collaboration across global teams to ensure regulatory adherence and integrity in investment banking activities.

Benefits

Comprehensive Total Rewards Program

World-class training program in financial services

Flexible working options

Qualifications

• Extensive experience in control room, research and investment banking compliance.
• Strong understanding of corporate banking, investment banking, and research operations.

Responsibilities

• Oversee global regulatory compliance and conflicts management.
• Drive strategic direction of Conflicts Office and research compliance.

Skills

Audits Compliance

Critical Thinking

Risk Management

Strategic Thinking

Education

Bachelor's Degree

JD, MBA, or Master's

Job description

Managing Director, Global Head of Control Room

Managing Director, Global Head of Control Room

Royal Bank of Canada London, United Kingdom

Managing Director, Global Head of Control Room

Royal Bank of Canada London, United Kingdom

Managing Director, Global Head of Control Room

Job Summary

Job Description

What is the opportunity?

The Managing Director - Global Head of Control Room, Investment Banking, Research, and Conflicts Compliance is responsible for overseeing and enforcing information barriers, managing conflicts of interest, ensuring regulatory compliance, and upholding the integrity of the firm's investment banking and research activities. This role requires strategic leadership, regulatory expertise, and collaboration with senior business and compliance leaders to mitigate legal and reputational risks.

The role involves both direct and dotted line reporting across Toronto, the U.S., London, and APAC region.

What will you do?

Control Room, Conflicts Office, Banking, and Research Compliance Leadership ("Private-Side Business Activities and Functions")

• Provide senior-level global regulatory advice and guidance on all aspects of Control Room matters, including conflicts of interest, banking, research, and information barrier frameworks.
• Set global strategic priorities and annual objectives for Private-Side Business Functions
• Oversee and drive the strategic direction of the Conflicts Office, ensuring effective management of real or perceived conflicts arising from the firm's client engagements.

Conflicts Management & Information Barriers

• Oversee the firm's global conflicts management framework, ensuring the identification, assessment, and mitigation of potential conflicts of interest.
• Manage deal review processes, ensuring appropriate governance over client commitments that could result in conflicts between clients, or employees.

Research Compliance & Monitoring Oversight

• Ensure compliance with global regulations governing research, including independence, disclosure, and conflicts management.
• Oversee the firm's Research Monitoring Oversight framework, ensuring effective controls over investment banking and research interactions.

Regulatory Oversight & Risk Management

• Act as a senior representative in global regulatory discussions, ensuring the firm remains ahead of evolving compliance expectations.

Leadership & Global Compliance Initiatives

• Represent Compliance on key global management and oversight committees.
• Oversee best practices and policy development across Global Information Barriers, Research, Personal Trading, and Conflicts policies.

What You Need to Succeed?

• Bachelor's Degree
• Extensive experience in a control room, research and investment banking compliance including Equity Capital Markets.
• Expertise with global research rules (including safe harbors), their application, and the research settlement.
• Experience handling complex investment banking and research matters
• Strong understanding of corporate banking, investment banking, and research operations across multiple regions

Preferred:

• An advanced degree (JD, MBA, or Master's)
• Proficiency in drafting clear and technically precise regulatory guidance, policies, and procedures.
• Strong ability to communicate regulatory matters effectively to key stakeholders.
• Experience in supporting ad hoc internal regulatory investigations.

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, 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:

2025-05-14

Application Deadline:

2025-05-24
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.

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