Job Description
Job Description
WHAT IS THE OPPORTUNITY
You'll be the trusted regulatory authority for Fixed Income, Currencies and Commodities (FICC) across RBC Capital Markets—both as a strategic advisor and as the leader of a small, specialized compliance team. You'll advise our sales, trading, and business teams on complex regulatory matters while building and mentoring a high‑performing team that shares your commitment to excellence. You'll work closely with senior leadership, regulators, and industry peers to shape how RBC approaches evolving FICC rules and standards. This is a high‑impact role for someone who thrives at the intersection of regulation, strategy, and business operations—and who enjoys developing talent.
YOU DO
Regulatory Advisory & Guidance
Serve as the subject matter expert on Canadian and global FICC regulations, including CIRO Dealer Member Rules, FX Code, Montreal Exchange rules, and FMSB standards
Provide timely, expert compliance advice to sales, trading, and other business segments on business conduct, market conduct, and transactional matters
Interpret complex regulatory frameworks and translate them into actionable guidance for business stakeholders at all levels
Mentor your team to handle routine matters independently while escalating complex issues appropriately
Strategic Compliance Leadership
Lead special projects and regulatory change initiatives assigned by the Head of Macro Compliance Advisory or Chief Compliance Officer
Drive organizational readiness for evolving compliance requirements, develop implementation roadmaps, and ensure timely adoption across the business unit
Demonstrate measurable impact on compliance effectiveness and regulatory standing
Balance hands‑on involvement in key initiatives with delegation to your team members to build their capabilities
Team Leadership & Development
Lead a small, focused compliance team
Set clear expectations, provide coaching and mentorship, and create opportunities for your team to develop regulatory expertise and advance their careers
Foster a collaborative environment where team members feel supported and invested in their growth, distribute work thoughtfully to challenge your team while maintaining advisory coverage across the business
Policy Development & Risk Management
Develop and enhance policies and procedures that support the compliance program
Identify potential compliance vulnerabilities, assess associated risks, and develop corrective action plans
Provide forward‑looking guidance to prevent issues before they escalate
Respond to alleged violations by evaluating concerns and recommending or initiating investigative procedures as appropriate
Ensure your team understands and can apply these policies consistently
Regulatory & Industry Relationships
Act as a key liaison with CIRO and other regulatory bodies, managing inquiries, audits, and regulatory interactions with transparency and professionalism
Actively participate in industry working groups and internal cross‑functional initiatives where your expertise adds value
Build and maintain collaborative relationships with internal teams, regulators, and external stakeholders
Represent RBC's compliance posture with credibility and confidence
Compliance Monitoring & Oversight
Monitor compliance and ethics initiatives within the business unit, providing proactive guidance to management on compliance‑related matters
Support general Capital Markets and RBC enterprise compliance policy implementation across your area of responsibility
Work with your team to identify trends, elevate emerging risks, and refine monitoring protocols
WHAT DO YOU NEED TO SUCCEED
Must have
Bachelor's degree in law, finance, business administration, or a related field
Minimum of 10 years of progressive experience in compliance, supervision, or front‑office roles within Capital Markets, with substantial focus on FICC products including Repo
In‑depth knowledge of Canadian FICC regulations and demonstrated ability to interpret and apply complex regulatory frameworks in a real‑world business context
Proven success managing or leading a team, even in an informal capacity
Proven track record of successfully leading projects, driving change initiatives, and building effective teams
Excellent written and verbal communication skills—you can articulate complex regulatory concepts to senior executives and business teams with clarity and confidence
Strong interpersonal skills and a demonstrated ability to build trust, collaborate across functions, and develop others
Comfort balancing strategic thinking with hands‑on involvement in day‑to‑day advisory work with the ability to thrive in a fast‑paced, dynamic environment.
Combine technical rigor with business acumen—you understand not just what rules require, but why they matter to how we operate
Nice to have
Advanced degrees (JD, MBA) or professional certifications (CFA)
Familiarity with compliance monitoring tools, MTRS reporting requirements, and relevant trading technology platforms
Prior experience in a dual role combining individual contribution with people leadership
What’s in it for you
A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
Leaders who support your development through coaching and managing opportunities
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 work/life balance options
Opportunities to do challenging work
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:
ROYAL BANK PLAZA, 200 BAY ST: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:
2026-02-26
Application Deadline:
2026-03-27
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.
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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.
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