Associate Director, SMCR Advisory Compliance

2 weeks ago


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

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
What do you need to succeed?Must-have
  • 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
Nice-to-have
  • Experience of working in an overseas-headquartered financial services firm
  • Advanced Excel
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 high-performing team
  • A world-class training program in financial services
  • Flexible working options fully supported.

Job Skills

Additional Job Details

Address:

100 BISHOPSGATE:LONDON

City:

London

Country:

United Kingdom

Work hours/week:

35

Employment Type:

Full time

Platform:

Law and Compliance

Job Type:

Contract (Fixed Term)

Pay Type:

Salaried

Posted 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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