Associate Director, SMCR Advisory Compliance
2 weeks ago
Job Summary
Job Description
What is the opportunity?This is a 12 mth Fixed term contract working within our Compliance department. You will be working within a specialist team, focused on the FCA and PRA's Senior Managers and Certification Regime (SMCR).Engaging with stakeholders across the organisation, you will be responsible for proactively driving forwards key elements of RBC's compliance with the SMCR. You will also be involved in employee conduct management and supporting the head of the team in delivering its responsibilities. What will you do?- Advise on all aspects of the SMCR, and also T&C
- Project manage and submit SMF applications and other SMR notifications
- Review certified persons against internal exam criteria
- Determine whether the FCA Conduct Rules have been breached
- Assess Fitness and Propriety issues
- Review matters for inclusion in Regulatory References
- Assist with the operation of RBC's Compliance breach management process
- Review and update internal policies, procedures and prepare management information
- Knowledge and experience of working with the SMCR, particularly SMF applications and notifications, the Conduct Rules, Fitness and Propriety and Regulatory References
- Experience of working with FCA Connect
- Attention to detail
- Drafting skills
- Adaptable and diligent
- Experience of working in an overseas-headquartered financial services firm
- Advanced Excel
- 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.
Job Skills
Additional Job Details
Address:
100 BISHOPSGATE:LONDONCity:
LondonCountry:
United KingdomWork hours/week:
35Employment Type:
Full timePlatform:
Law and ComplianceJob Type:
Contract (Fixed Term)Pay Type:
SalariedPosted Date:
Application Deadline:
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.
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