Compliance Analyst

22 hours ago

Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom Royal Bank of Canada> Full time

Job Summary

We are seeking a highly skilled Compliance Analyst to join our Employee Compliance team at RBC Brewin Dolphin in Newcastle. As a key member of our team, you will play a critical role in ensuring that our business activities and procedures comply with regulatory requirements and industry standards.

Key Responsibilities

  • Initiate and complete the migration of employee disclosure data from legacy to new systems.
  • Support the core activities of the Employee Compliance Team, including employee conflicts management, new joiner disclosures, and requests for approval for personal account dealing, gifts and entertainment, private investments, and outside business interests.
  • Provide assistance to team members and contribute to the development of compliance policies and procedures.

Requirements

  • Reasonable understanding of financial services and/or legal sector and experience of delivering change, including regulatory and compliance change, within those sectors.
  • Experience in creating and tracking project plans and delivering regulatory projects within financial services.
  • Experience in making judgments from applying policies and processes to non-routine scenarios with imperfect information.
  • Ability to handle complex issues, projects, and processes.
  • Demonstrate strong moral and ethical principles, a willingness to learn, accept accountability, demonstrate initiative, and support effective co-operation.

Preferred Qualifications

  • Education to at least final degree level, ideally in a subject that can support the role (e.g., finance, business, etc.) – or similar/equivalent education.
  • Previous relevant experience is preferable but not essential, for example, experience working with Employee conflicts management systems, processes, and policies and Conflict management-focused rules and regulations (e.g., FCA COBS and/or SYSC).

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.

Why RBC?

RBC is a leading financial institution that values diversity, equity, and inclusion. We are committed to building an inclusive workplace where employees can 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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