Associate Director, Capital Markets Compliance Advisory - Institutional Equities
Toronto, Ontario, Canada
8d ago

What is the opportunity?

The Associate Director will join RBC Capital Markets Compliance in Advisory supporting the Institutional Equities business on a day to day basis.

The role will support the trade desk and provide regulatory and policy updates, on-going and annual training, and risk assessments.

What will you do?

  • Assess and communicate regulatory requirements, impact analysis for the desk, and develop productive communication channels with regulators
  • Document and socialize updated policies and procedures impacting Institutional Equities and the Wealth Management Equity Trade Desk.
  • Deliver training (annual, teach in, ad hoc) respecting regulatory rules, policies, procedures, best practices with front line and support staff
  • Document and track issues from audits (internal / external) with front line businesses, steering committees and board members
  • Conduct compliance risk assessments per line of business; review new business opportunities (new product, technology, or market structures from a compliance perspective)
  • What do you need to succeed?


  • 2+ years of relevant work experience within a broker dealer, ideally Capital Markets (front, mid, back office)
  • Completion of the Canadian Securities Course and Conduct and Practices Handbook Exam
  • University degree in business, finance, economics or other related discipline combined with +5 years of progressive Compliance or related experience
  • Strong presentation skills in a group setting
  • Nice-to-have

  • TTC (Trader Training Course)
  • 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.

  • A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation
  • A comprehensive Total Rewards Program including bonuses and flexible benefits and competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • Opportunities to do challenging work
  • About RBC

    Royal Bank of Canada is Canada’s largest bank, and one of the largest banks in the world, based on market capitalization.

    We are one of North America’s leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis.

    We have over 80,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S.

    and 37 other countries.

    For more information, please visit

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    Inclusion and Equal Opportunity Employment

    RBC is an equal opportunity employer committed to diversity and inclusion.

    We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal / Native American status or any other legally-protected factors.

    Disability-related accommodations during the application process are available upon request.

    Work Hours / Week : 37.5

    Work Environment : Office

    Employment Type : Permanent

    Career Level : Senior Manager / Director

    Pay Type : Salary + Variable Bonus

    Required Travel (%) : 0-25

    Exempt / Non-Exempt : N / A

    People Manager : Yes

    Application Deadline : 07 / 24 / 2018

    Posting Notes :

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