Associate Director, Employee Dealings, Control Room (Compliance)
RBC
Job Description
What is the opportunity?
As Associate Director, you will be responsible for managing aspects of the monitoring and testing within the Canadian Control Room and updates to related policies and procedures, including the RBC Capital Markets Personal Trading and Enterprise Personal Trading Policies. You will be a key relationship manager to the Research Department, including review and approval of research reports. You will also act as a Compliance Advisor for all private-side business units within RBC Capital Markets (Canada) and other businesses whose employees and/ or trading are monitored by the Canadian Control Room.
What will you do?
Day-to-day surveillance of employee, client and firm trading and communications to identify trading based on inside information
Maintain a database of employees with their proper monitoring classification for both Capital Markets and RBC-Enterprise
Administer Business Supervisory Reports with respect to personal trading and violations of applicable policies
Daily management of the capital markets employee conflict of interest monitoring program, including review and approval of private investments and outside business activities
Monitoring, conducting impact analyses and communicating relevant regulatory developments and industry enforcement actions on a timely basis
Representing Compliance on internal committees to ensure that all regulatory compliance and reputational issues and concerns are identified and resolved
What do you need to succeed?
Must have
University degree or equivalent education
5+ years of Compliance experience including conducting compliance and trade surveillance and reviews
Knowledge of trading and the Canadian capital markets
Nice to have
Securities industry related courses and qualifications
What’s in it for you?
We thrive on the challenge to be our best, thinking progressively 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
Leaders who support your development through coaching and managing opportunities
Ability to make a difference and lasting impact
Work in an agile, collaborative, progressive, and high-performing team
Job Skills
Additional Job Details
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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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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.