Job Summary
Job Description
What is the opportunity?
Associate Director / Senior Compliance Manager within the Capital Markets Compliance team for RBCCM Europe, with responsibility for supporting the Head of Global Investment Banking and Research Compliance Advisory, Europe in relation to all Control Room and Private Side advisory activities in respect of RBC Europe Limited and RBC London Branch.
What will you do?
1. Undertake any tasks as may be required in respect of Control Room activities including but not limited to clearance of Research escalations, maintenance of Watch & Restricted Lists, deal updates, Information Barrier management, disclosures to the Takeover Panel.
2. Design and maintain policies and procedures to address identified regulatory risks, maintaining a detailed knowledge of applicable regulations, best practices and relevant internal RBC policies and procedures.
3. Devise and deliver Compliance training.
4. Conduct monitoring activities in line with the team's monitoring framework.
5. Issue guidance to the front office regarding regulatory requirements.
6. Investigate breaches of policy and prepare associated paperwork.
7. Undertake ad-hoc assignments as required.
What do you need to succeed?
Must-have
1. Excellent written and verbal communication skills.
2. Relevant Compliance experience handling Private Side & Research queries.
3. Knowledge of primary and secondary UK financial services legislation.
4. Knowledge of Investment Banking businesses.
5. Ability to challenge the front line, where appropriate, and handle difficult conversations.
6. Ability to work well in a team and build relationships at all levels of the bank.
7. Aptitude for accuracy, attention to detail, and hands-on approach.
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 comprehensive 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.
Agency Notice
RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additional details.
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, 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: Regular
Pay Type: Salaried
Posted Date: 2024-12-18
Application Deadline: 2024-12-29
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.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
#J-18808-Ljbffr