Job Description

Job Description

What is the opportunity?

Responsible for management of Regulatory Compliance Management, Regulatory Change, and Issue Management as it relates to the Control Room.

Conduct annual and ad hoc in person training for all business segments supported by the Control Room.

Respond to Control Room related audit examinations, regulatory requests, and internal investigations involving all supported business lines.

Establishing and maintaining relationships as a trusted Advisor on regulatory compliance, reputational and risk management matters to all private-side business units within RBC Capital Markets (Canada).

What will you do?

Control Room Oversight

• Responsible for conducting annual and other in person ad hoc training all supported business segments.
• Responsible for ensuring regulatory compliance issues and concerns are identified and resolved for supported business segments.
• Responsible for responding timely to compliance-related audit examinations, regulatory examinations, regulatory requests, and internal investigations involving all supported business.
• Responsible for reporting any Compliance-related issues to senior management and the Chief Compliance Officer, Capital Markets Compliance (Canada), as appropriate.
• Responsible for driving annual policy, process, and procedural reviews for the Canadian Control Room.
• Assisting with managing information barriers, conflict clearance, conflicts of interest, and procedures for RBC Capital Markets (Canada), including but not limited to: the RBCCM Information Barriers Policy.
• Communicate relevant regulatory developments and industry enforcement actions on a timely basis to senior management and other interested parties.
• Responsible for monitoring industry and regulatory developments relating to insider trading, tipping, UMIR 7.7, conflicts of interest, etc. including conducting an impact analysis and communicating any impact to senior management of affected business units.
• Collaborate with regional Compliance colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers.
• Manage and oversee the monitoring and testing program of the Canadian Control Room.

Control Room Advisory

• Advisory / Real-time Support:
  • Assisting with advise to Research and Sales & Trading of restrictions and corresponding permissible activities
  • Assisting with advise on questions regarding the Watch and Restricted Lists

What do you need to succeed?

Must have

• Bachelor’s Degree
• Relevant work experience within a broker dealer, ideally Capital Markets (front, mid, back office) or equivalent experience with a Regulators
• Knowledge and experience with Capital Markets products and services.
• Completion of the Canadian Securities Course and Conduct and Practices Handbook Exams.
• University degree in business, finance, economics or other related discipline combined with +5 years of progressive Compliance or related experience.

Nice to have

• Strong presentation skills in a group setting.
• Exceptional oral/written communication skills, interpersonal, networking, leadership, organization, and multitasking skills.
• Highly motivated and self-directed with a results-oriented mindset.
• Ability to communicate sensitive information verbally and in writing to individuals at all levels.
• Ability to work collaboratively on a team and build effective working relationships.
• Strong organizational skills and a keen attention to detail
• High ethical standards and discretion in handling confidential and sensitive matters.
• Demonstrated ability to lead complex, cross-functional initiatives with limited supervision.

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.

• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to take on progressively greater responsibilities

Job Skills

Audits Compliance, Business, Capital Markets, Communication, Compliance Management, Conflicts of Interests, Control Rooms, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Information Barriers, Interpersonal Relationship Management, People Management, Product Services, Regulatory Compliance, Regulatory Compliance Management, Risk Management

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-08-27

Application Deadline:

2025-10-04

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.

Job Tags

Full time, Work at office,

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