Analyst, Marketing Compliance

Based in Vancouver (or possibly in our office in Toronto or Montreal), the Analyst, Marketing Compliance is responsible for helping PH&N Institutional communications adhere to relevant Canadian securities laws and regulations, RBC corporate policies, business standards and best practices by being a go-to marketing compliance expert within the team. The ideal candidate is service-oriented, likes rules, has an excellent command of MS Office, works well independently as well as in a team, and is interested in learning about capital markets and institutional investing.

What is the opportunity?

Working closely with the Senior Analyst, Marketing Compliance, the Analyst's will build a solid understanding of relevant laws, regulations, policies and standards; review and approve presentations, communications, digital and other marketing collateral; support certain client engagement activities; promote a culture of marketing compliance internally by training colleagues and being a credible resource; and liaise with legal, compliance and regulatory experts.

PH&N Institutional is the institutional investment management business of RBC Global Asset Management (RBC GAM) in Canada. https://institutional.phn.com

What will you do?

• Develop a thorough understanding of the applicable regulations, laws, rules, policies, procedures and industry best practices that govern the PH&N Institutional business and help monitor our compliance with them by reviewing marketing materials, sales communications, digital and other collateral prior to publication/dissemination;
• Train, educate and inform staff of marketing compliance requirements.
• Document and maintain marketing compliance policies; and procedures, and track, log and report on marketing compliance activities.
• Support certain client engagement and onboarding efforts;
• Liaise with and manage internal and external stakeholders.
• Assist with projects, audits and reviews that implicate PH&N Institutional's marketing compliance.

What do you need to succeed?

• You are enthusiastic and deadline-driven, work well within a team and independently, have a keen attention to detail, and thrive in a collegial, fast-paced environment.
• You would like to work in the office five days per week, with the potential to work one day per week remotely, at manager discretion.

Must-have

• Post-secondary degree plus one or more years of relevant experience, including experience applying rules and regulations in a work context;
• Sound judgement in decision making, demonstrating a keen attention to detail, "big picture" thinking, and an ability to simplify the complex;
• Strong organizational skills, with an ability to manage multiple, cross-functional stakeholders and competing deadlines;
• A willingness to learn about capital markets and investment concepts, possibly supported by relevant industry-related credentials (e.g., Canadian Securities Course, IFIC Investment Funds Course, CFA, etc.);
• Proficient in MS Office (Excel, Word, PowerPoint) and Adobe Acrobat.

Nice-to-have

• Cover letter with application demonstrating your strong communication skills;
• Experience working in the Canadian investment industry;
• Exposure to relevant compliance requirements for sales communications (especially as they apply to mutual funds), including familiarity with relevant sections of National Instruments 81-102 and 81-105;
• French language skills.

What's in it for you?

We thrive in 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 competitive compensation with bonuses, and flexible benefits, and stock where applicable
• Challenging work in a dynamic, collaborative, progressive, and high-performing team
• Management that supports your work and progression
• Opportunities to take on progressively greater accountabilities

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

WATERFRONT CENTRE, 200 BURRARD ST:VANCOUVERVANCOUVERCanada37.5Full timeWEALTH MANAGEMENTRegularSalaried2025-03-282025-04-12

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.