Associate Director, Capital Markets Compliance Advisory (Canada)

Job Description What is your opportunity? In this critical role, you will provide expert regulatory advice and compliance support for Canadian OTC derivatives regulations and trade reporting requirements, playing a key role in strengthening RBC’s commitment to regulatory excellence and operational integrity. What will you do? Regulatory Advisory Expertise:

Serve as a trusted advisor on Canadian OTC derivatives regulations, including but not limited to business conduct, trade reporting, and margin requirements, providing expert compliance support to Capital Markets and other business segments as needed.

Trade Reporting Compliance:

Oversee and provide guidance on trade reporting regulatory requirements, such as OTC derivatives reporting (CSA) and MTRS (CIRO), ensuring adherence to applicable standards across Capital Markets and related business units.

Leadership in Special Projects:

Lead and execute special projects as assigned by the reporting manager or Chief Compliance Officer (CCO), driving strategic initiatives to enhance compliance practices.

Regulatory Change Management:

Manage and implement regulatory change initiatives, ensuring organizational readiness and timely adoption of evolving compliance requirements.

Policy Development and Enhancement:

Develop, initiate, and revise policies and procedures to support the effective operation of the compliance program and its related activities, ensuring alignment with regulatory expectations.

Compliance Monitoring and Guidance:

Monitor compliance and ethics initiatives within the business unit, providing proactive guidance and strategic advice to the management team on compliance-related matters.

Risk Identification and Mitigation:

Identify potential areas of compliance vulnerability and risk, develop corrective action plans to address issues, and provide forward-looking guidance to prevent recurrence.

Investigation Oversight:

Respond to alleged violations of rules, regulations, policies, and procedures by evaluating concerns and recommending or initiating investigative procedures.

What do you need to succeed? Educational Background:

Bachelor’s degree in Law, Finance, Business Administration, or a related field; advanced degrees (e.g., JD, MBA) or relevant professional certifications (e.g., CFA) are considered an asset.

Industry Experience:

Minimum of 7-10 years of experience in compliance, legal, or regulatory roles within Capital Markets, with a strong focus on OTC derivatives and trade reporting.

Regulatory Expertise:

In-depth knowledge of Canadian OTC derivatives regulations and trade reporting requirements, with a proven ability to interpret and apply complex regulatory frameworks.

Leadership Skills:

Demonstrated ability to lead cross-functional teams, manage special projects, and drive regulatory change initiatives effectively.

Communication Skills:

Excellent written and verbal communication skills, with the ability to articulate complex regulatory concepts to senior management and business stakeholders.

Attention to Detail:

High level of accuracy and attention to detail in assessing compliance risks and monitoring regulatory adherence.

Relationship Management:

Strong interpersonal skills to build collaborative relationships with internal teams, regulators, and external stakeholders.

Adaptability:

Ability to thrive in a fast-paced, dynamic environment and manage multiple priorities effectively.

Technical Proficiency:

Familiarity with compliance monitoring tools, trade reporting systems, and relevant technology platforms is an asset.

What’s in it for you? We thrive on the challenge to be our best, thinking progressively 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

Leaders who support your development through coaching and managing opportunities

Ability to make a difference and lasting impact

Work in an agile, collaborative, progressive, and high-performing team

The opportunity to interface with executives from many different parts of the organization

RBC is committed to an inclusive workplace that has diverse perspectives and is core to our continued growth as one of the largest and most successful banks in the world. We strive to deliver this through policies and programs intended to foster a workplace based on respect, belonging, and opportunity for all.

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