Compliance Director

3 days ago

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

Job Summary

Job Description

What is the opportunity?

As the Head of Compliance Advisory for RBC BlueBay businesses and operations in the UK, you will lead and manage the RBC BlueBay Compliance Advisory team in the UK. Your primary responsibility will be to implement and maintain an effective, integrated, proactive, and risk-based program for the management of regulatory, compliance, and reputational risk for RBC BlueBay UK, aligned to the Global Compliance Regulatory Compliance Management (RCM) controls and standards.

Key Responsibilities

  • Accountable for the quality and consistency of compliance performance under all relevant governing laws, regulations, directives, standards, and guidelines in relation to the RBC BlueBay UK business.
  • Responsible for assessing and managing the compliance risk, including being accountable for instilling with the businesses the central role they play as the First Line of Defence and in ensuring that RBC complies with its regulatory obligations and ethical standards.
  • Provide value-added advice and guidance to the executives within the RBC BlueBay UK business to embed ownership for Compliance Risk within the business.
  • Support and enable business objectives by ensuring relevant businesses are equipped to meet regulatory requirements, including identifying, assessing, tracking, where possible influencing, and preparing for new developments, and ensuring the implementation of Global Compliance priorities for the RBC Enterprise in respect of RBC BlueBay UK.
  • Maintain constructive and strong working relationships with all relevant regulators that impact RBC BlueBay businesses in the UK.
  • Provide support to the Head of Wealth Management Europe Compliance in the execution of Compliance strategic initiatives and enhancements to existing processes.

Requirements

Must-have

  • Extensive financial institutions and asset management industry/compliance experience.
  • Extensive and comprehensive knowledge of UK and international regulatory requirements as they pertain to asset management.
  • Leads by example and displays excellent leadership by demonstrating clear direction both within the team and function.
  • Ability to maintain an open relationship with stakeholders on all levels, including regulators.
  • Excellent influencing skills and strong ability to communicate effectively with senior management, providing direction and challenge where required.
  • Excellent problem-solving, ability to work under pressure, and meet tight deadlines, consistently delivering within agreed deadlines.

Nice-to-have

  • Experience of ESG Requirements and Standards.
  • Experience of US SEC and NFA regulations.

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

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Location: 100 BISHOPSGATE, LONDON

Country: United Kingdom

Work hours/week: 35

Employment Type: Full time

Platform: WEALTH MANAGEMENT

Job Type: Regular

Pay Type: Salaried

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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