Head of Investment Compliance Advisory

2 weeks ago

London, Greater London, United Kingdom Royal Bank of Canada> Full time
Job Summary

We are seeking a highly skilled and experienced Head of Investment Compliance Advisory to join our team at Royal Bank of Canada. As a key member of our compliance team, you will be responsible for providing expert advice and guidance on investment compliance matters to our business stakeholders.

Key Responsibilities
  • Provide leadership and strategy for the Investment Compliance Advisory team, including setting development goals and annual objectives.
  • Offer practical guidance to our Client Facing Team on the proper interpretation and application of regulatory requirements, industry codes of practice, and internal policies and procedures.
  • Analyze, interpret, and apply new regulatory requirements that impact our Investment Management, Financial Planning, and Advice activities.
  • Liaise with relevant stakeholders on the implementation of regulatory requirements relevant to our Investment Management and Financial Planning activities.
  • Advise on important business projects and business change, including product/service development, fees/costs changes, and distribution changes.
  • Maintain and update the relevant Compliance policies and procedures manual to reflect the changing business and regulations.
  • Support the accuracy of the Regulatory Compliance Management system (RCM) for the business areas covered and participate in compliance risk assessments.
  • Represent Compliance in relation to fund, product, and service launches, including new product and service development.
  • Represent Compliance in relation to product and service reviews, including Fair Value Assessments, providing advice and challenge to ensure compliance with regulatory requirements and industry standards.
  • Be the primary Compliance SME for Consumer Duty, including reviewing and challenging relevant MI and Data.
Requirements
  • Extensive experience in Wealth Management Compliance, preferably with a focus on investment compliance.
  • Some experience managing others in a regulatory role in financial services.
  • Knowledge and experience in the UK/EU regulatory environment, FCA rules, Consumer Duty pertaining to Wealth Management Firms, and best practice.
  • Strong interpersonal skills and a professional approach to work.
  • Enthusiasm and drive in developing compliance advisory skills and gaining an understanding of the RBC BD businesses.
  • Ability to grasp new ideas and concepts quickly and use them effectively. Strong planning, organizational skills, and attention to detail.
  • Ability to work under pressure and meet tight deadlines, consistently delivering within agreed deadlines.
  • Focus on personal and professional development.
What We Offer
  • 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.

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