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Compliance Advisory

4 months ago

London, Greater London, United Kingdom Royal Bank of Canada Full time

Job Summary

What is the opportunity?
Provide Compliance advice and support to the RBC Wealth Management UK, RBC Brewin Dolphin and RBC BlueBay businesses as required:

What will you do?

  • Support the activities of the Compliance Advisory team and champion the embedding of a compliance awareness culture throughout the business by proactively engaging with stakeholders at all levels of seniority. Conduct Compliance induction training, adhoc face to face Compliance engagement and training, Compliance scenariobased training and branch visits (as required).
  • Carry out appropriate regulatory analysis and provide thoughtful Compliance advice and challenge to stakeholders on a timely basis for ongoing business as usual (BAU) activities.
  • Lead appropriate regulatory analysis and Compliance advice for new business propositions and services, taking into account wider regulatory requirements such as Consumer Duty.
  • Undertake the analysis and produce Compliance Assessments, as it relates to Compliance coverage area. This includes engagement with the stakeholders/Policy owners and, where relevant, preparing the applicable submissions for the governance committee(s).
  • Provide input into compliance committee submissions, such as Wealth Management Europe (WME) Compliance Committee and WME ExCo. Attend and actively participate in relevant business governance committees, acting as a key contributor and decision maker for Compliance Advisory. As required, deputise for relevant Heads of Compliance.
  • Support relevant Heads of Compliance in strategic business and strategic compliance initiatives, including projects related to the integration of the RBC Brewin Dolphin business with RBC, and deputise at relevant project meetings as appropriate. Attend, lead and actively contribute to relevant business project meetings and regulatory project meetings and committees.
  • Ownership for production of MI for applicable/own coverage area to support relevant Heads of Compliance in managing the SMCR requirements for the Compliance function.
  • Manage regulatory visits, as required, to ensure regulatory visits and other interaction with the regulators are managed effectively.

What do you need to succeed?

Must-have

  • Experience in financial service industry and good understanding of the Wealth Management industry.
  • Extensive experience in a role requiring knowledge of UK Regulation and wider legislation applicable to Wealth Management.
  • Some experience managing others in a regulatory role in financial services.
  • Acts as a role model for collaboration, sharing information and rewarding teamwork. Displays enthusiasm, credibility and determination.
  • Leads by example and displays excellent leadership by demonstrating clear direction both within team & function.
  • Experience in managing strategic business and regulatory projects as a Compliance lead.
  • Ability to maintain an open relationship with stakeholders on all levels, including regulators.
  • Excellent influencing skills and strong ability to communicate effectively with senior management, providing direction and challenge where required.
  • Excellent problemsolving skills and consistently displays evidence of lateral thinking when solving problems.
  • Excellent planning, organisational skills and attention to detail.
  • Ability to work under pressure and meet tight deadlines, consistently delivering within agreed deadlines.
  • Ability to grasp new ideas and concepts quickly and use them effectively.
  • Passion for continuous improvement.
  • Positive and professional attitude with an enthusiastic approach to working in a team.

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 highperforming team
  • A worldclass training program in financial services
  • Flexible working options fully supported.

Job Skills
Audits Compliance, Business, Business Practices, Business Projects, Compliance Assessments, Compliance Programs, Corporate Governance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, People Management, Product Services, Regulatory Analysis, Regulatory Compliance Consulting, Regulatory Requirements, Risk Management, Strategic, Strategic Business Units, Strategic Thinking, Taking Initiative

Additional Job Details

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