Job Summary
Job Description
What is the opportunity?
12 month FTC - Associate, Compliance Testing. As an integral member of the UK Compliance Testing team, the Compliance Testing Manager helps support local Chief Compliance Officers (CCOs) in fulfilling their responsibilities defined under the RBC Regulatory Compliance Management Framework Specifically to work in:
* Assessing the adequacy of, adherence to and the effectiveness of the day-to-day controls to manage regulatory compliance risk; and
* Providing an opinion to senior for a on the effectiveness of the Regulatory Compliance Management (RCM) controls in achieving compliance with the applicable regulatory requirements.
What will you do?
* Assist in the completion of effective risk assessments to drive the UK (European for Capital Markets) Compliance Testing Plan;
* Under the stewardship of the Head of Compliance Testing, Europe:
* Lead and deliver timely and accurate compliance Testing reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk (across Capital Markets, I&TS, GAM & WM);
* Work with Compliance and business colleagues to track and advise (where appropriate) on the appropriateness of actions plans to resolve issues identified during Testing reviews;
* Contribute towards the continual enhancement of the testing approach and annual Testing program (including providing ideas for developing/improving the approach to continuous business testing and, where relevant, enhancing the existing Enterprise Monitoring and Testing control standards);
* Assist in the delivery of timely responses to internal audit and external regulatory enquiries; and
* Support ad-hoc projects and activities as required (methodology improvements; stakeholder management; committee reporting).
What do you need to succeed?
Must have:
* Bachelor’s degree (or equivalent)
* Experience in Regulatory Compliance
* Experience within Financial Services (Capital Markets / Wealth Management / Asset Management)
Nice-to-have
* Qualifications in auditing, monitoring or risk.
* Data Analytical skills
What is 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 Total Rewards Program including bonuses, flexible benefits and competitive compensation
* Leaders who support your development through coaching and managing opportunities
* Opportunities to work with the best in the field
* 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
* Flexible working options fully supported.
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
Address:
100 BISHOPSGATE:LONDON
City:
London
Country:
United Kingdom
Work hours/week:
35
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Contract (Fixed Term)
Pay Type:
Salaried
Posted Date:
2025-02-20
Application Deadline:
2025-03-03
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 embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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