What is the opportunity?

The Associate Director is responsible for the overall execution of the FinOps compliance program within RBC. Reporting to the Managing Director, Compliance, the program specifically focuses on Finance and Operational coverage for RBC’s Capital Markets, Wealth Management and Direct Investing business lines, with principal regulatory oversight from the Canadian Investment Regulatory Organization (CIRO). The major areas of focus include providing advice, oversight and challenge of all business activity, execution of the FinOps. Regulatory Compliance Management (RCM) FinOps program while acting as the principal backup for the Global Securities Aggregation compliance program.

What will you do?

• Executes and directs the implementation of the 2LOD risk oversight program for FinOps Compliance, which includes:
  • Acting as the main point of contact and subject matter expert (SME) for all FinOps related activity in Canada, including coverage of CIRO, exchange and clearing house rulebooks.
  • Specific areas of focus include i) trade and transaction reporting, ii) margin requirements, iii) segregation, iv) statements & confirms, and v) affiliate arrangements.
  • Maintain relationships with the appropriate regulatory agencies while ensuring an open forum for communication, and participation in various industry working groups and committees.
  • In addition to ownership of the RCM program for FinOps, elements requiring oversight can include regulatory change, issues management, policy ownership, monitoring and regulatory exams.
• Development and maintenance of the Governance framework for FinOps Compliance, which includes the regular production (twice monthly) of a management information deck.
• Act as backup for the Global Securities Aggregation compliance program, which requires a solid knowledgebase of the core principles, while providing advice, oversight and challenge on all activity.
• Manage all aspects of the FORC (Finance, Operations and Risk Committee) meeting, including creation and distribution of the quarterly meeting package, responsibility for meeting minutes, and any post-meeting follow up/annual reviews as required.
• Other duties as assigned.

What do you need to succeed?

• Seven or more years of experience in the Securities or Finance industry.
• Strong knowledge of the Canadian Securities regulatory environment, specifically of Finance and Operations, Capital Markets and/or Wealth Management.
• Experience developing and implementing compliance programs at a national level.
• Well-developed written and verbal communication skills, facilitating the ability to communicate complex ideas in a clear and concise fashion.
• PowerPoint and Excel skills that would be considered Moderate to Expert level
• Strong initiative, and the ability to organize and prioritize regulatory expectations, while delivering strong value to the business.

What’s 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 and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• 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
• Opportunities to do challenging work

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

RBC CENTRE, 155 WELLINGTON ST W:TORONTOTORONTOCanada37.5Full timeCHIEF LEGAL & ADMIN OFFICE GRPRegularSalaried2025-07-132025-07-29

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.