Compliance Risk Manager

7 days ago

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

We are seeking a highly skilled Compliance Analyst to join our RBC BlueBay Compliance Advisory team. As a key member of our team, you will provide advice and guidance on compliance-related matters to RBC BlueBay and support the RBC BB Compliance Advisory UK Team.

Key Responsibilities
  • Support the compliance team in maintaining the Restricted List of issuers on which BlueBay may hold inside information, including managing the Restricted List of companies on which BlueBay may hold inside information as a result of wall-crossing, pre-sounding of new issues, and new Confidentiality Agreements;
  • Conduct conflict checks on potential investment opportunities and highlight the identification of conflicts to the line manager for discussion;
  • Maintain and update policies and procedures on an annual and ad hoc basis to reflect changing business and regulations, including the Front Office Handbook, conflict of interest policies and procedures, and other investment-related policies and procedures;
  • Complete periodic compliance certifications for clients in accordance with IMA reporting obligations;
  • Complete periodic compliance reporting for Fund Boards and other Committees;
  • Conduct e-communication surveillance monitoring and highlight any issues to the line manager for further review;
  • Conduct market abuse surveillance and highlight any issues to the line manager for further review;
  • Carry out monitoring, testing, and thematic reviews of business areas and highlight any findings to the line manager.
Requirements

To succeed in this role, you will need:

  • Experience/exposure to the UK/EU regulatory environment pertaining to asset management firms;
  • Familiarity with FCA Handbook rules impacting the asset management sector;
  • Knowledge of SEC Rule and Regulations impacting the asset management sector;
  • Understanding of asset management business activities and best practice.
What We Offer

We offer a comprehensive Total Rewards Program, including bonuses, flexible benefits, and competitive compensation. Our leaders support your development through coaching and managing opportunities. You will have the chance to work with the best in the field, make a difference, and have a lasting impact. Our team is dynamic, collaborative, progressive, and high-performing. We also offer a world-class training program in financial services and flexible working options fully supported.

About RBC

RBC is a global financial institution that thrives on the challenge to be our best. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We strive to provide an accessible candidate experience for our prospective employees with different abilities.

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