Manager, Compliance

What is the opportunity?

As Manager, Compliance you are a member of the RBC Compliance team supporting the Compliance program of RBC Global Asset Management in Canada, with responsibilities focused on executing the firm's day-to-day compliance activities and supporting the rest of the Compliance team. The position is ideal for you if you are interested in developing your skills in regulatory compliance, including in surveillance, ongoing monitoring and testing, and growing with the position and team over time. As Manager, you report directly into the Director, Compliance located in Toronto.

*This position can be based out of Toronto or Vancouver.*

What will you do?

• Respond to compliance inquiries and advise on various subject matters as may be designated by the Director, Compliance or Chief Compliance Officer
• Identify and research potential violations of regulations, policies and procedures, document and report findings in a timely manner
• Assist in the creation and implementation of new or amended compliance policies and procedures
• Support the team's second line of defense activities by conducting surveillance, monitoring, and testing activities and associated reporting
• Execute day-to-day compliance operational activities of the team and necessary tasks and reporting including for personal trading and other employee conduct related policies and policies
• Work effectively within a team environment, cross train and provide back up to other members of the team as assigned
• Fulfill other responsibilities as assigned by the Director, Compliance or Chief Compliance Officer

What do you need to succeed?

Must-have:

• 2-4 years of experience in regulatory compliance, preferably in securities industry
• University or post-graduate degree (Business, Finance, Law is preferred)
• Excellent judgement and analytical skills - problem solving, curiosity, ability to simplify, desire to learn and grow
• Comfort working in a fast-paced environment where complex issues and deadlines are common
• Accuracy in work output, and attention to detail are essential
• Effective organization skills, including the ability to meet deadlines consistently, and prioritize between competing tasks and deadlines
• Strong communication skills required to respond to questions, summarize facts, and write reports
• Ethical, able to maintain a confidence and exercise good judgement
• Professional and able to work collaboratively with others

Nice-to-have:

• Relevant securities industry courses, and/or enrolled in Chartered Financial Analyst program
• Working knowledge of Canadian regulatory requirements as they pertain to portfolio management and investment funds, including National Instruments 31-103 and 81-102.

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 and competitive compensation
• Leaders who support your development through coaching and managing opportunities
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to do challenging work

Job Skills

Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above