Director, Compliance Global Capital Markets Governance and Strategic Initiatives

Job Title: Director, Compliance Global Capital Markets Governance and Strategic Initiatives

What is the opportunity?

Supporting global Capital Markets' policy governance, including employee compliance training, and strategic initiatives. Directly reporting to the COO of Global Capital Markets and U.S. Investment Management Broker Dealer Compliance with ultimate roll up to the VP, Global Capital Markets and U.S. Investment Management-Broker Dealer Compliance CCO. Ensures success of ongoing global program administration by maintaining minimum standards and frameworks, providing oversight and guidance to program partners, and promoting and championing global best practices relating to common program elements

What will you do?

• Policy Governance: Responsible for the development, implementation, and ongoing administration of the global Capital Markets compliance policy governance program. This includes maintaining a global policy and procedure inventory, as well as oversight on socialization, translation, approvals process, publication, and adherence to Enterprise standards.

• Compliance Training: Responsible for the development, implementation, and ongoing administration of the global Capital Markets compliance training framework. This includes the creation of an annual global training plan, measuring training effectiveness through metrics, maintenance, and ongoing enhancement of the global training standard, and socialization of global program status and results.

• Compliance Communications: Accountability for development and distribution of compliance communications, ensuring their distribution complies with program schedule and parameters, including ownership and regular review of RBC CM Compliance Communications Procedure.

• Strategic Initiatives: Work closely with the COO and CCO to execute, track, and ensure timely completion of strategic initiatives, aligning the results-focused efforts to achieve overall vision and goals of the Global CM Compliance Department.

• Lessons Learned: Responsible for coordinating Lessons Learned originating in Canada and the U.S. Accountable for steering discussions emerging from completed Lessons Learned assessments and potential read-across with the relevant Compliance teams across CM globally. Maintain regular interaction with Compliance teams across North America to remain abreast of in-flight and completed assessments, including providing oversight and challenge (as required) and ensuring that reviews are completed (including serving as point of escalation and maintenance of associated Lessons Learned central repository). Work closely with the Head of Regulatory Developments, Europe on the Lessons Learned program and associated reporting where relevant.

• Regulatory Change - Attendance at associated Enterprise Working Groups/ Regulatory Strategy Committee to maintain knowledge and awareness of global CM-impacted regulatory change to assess need for key program pillar updates.

• People Management: Leads a team of ~2 staff, ensuring the department operates efficiently and effectively, and that team members are accountable for their deliverables. This includes input into mandates, interviewing and hiring replacement staff, training, and conducting regular performance reviews.

• Prepare, Working Group, Executive Committee meetings and the alike materials for presentations.

• Reporting and metrics - Ensure effective tracking of appropriate Key Risk/Performance indicators to facilitate oversight and reporting on covered subject areas.

• Other duties as assigned.

What do you need to succeed?

Must have:

• Bachelor's Degree
• 10 -12 years of experience in a financial institution, management consulting firm or another highly regulated industry with a track record of handling analytical work and managing complex projects and initiatives.
• Project/Initiative or Change Management experience preferred.
• Highly motivated, resourceful and self-directed with a results-oriented mindset.
• Ability to partner with senior business stakeholders.
• Strong analytical, problem-solving, and decision-making skills.
• Ability to work collaboratively on a team and build effective working relationships.
• Strong organizational skills and a keen attention to detail.
• Must be proficient with Power Point, Excel, Outlook, Word (case studies may be required).
• Proficiency in Visio, SharePoint, JIRA, and Confluence is a plus.
• Ability to develop, implement, and interpret policies and procedures.
• Excellent written and verbal communication, interpersonal, networking, leadership, project management, organization, and multitasking skills, along with strong research, and effective presentation skills.
• Ability to communicate sensitive information verbally and in writing to individuals at all levels.
• This is a hybrid role. Must be available to be in the Toronto Wellington office 3 + days per week.

Nice to have :

• Master's Degree (finance / legal/ operations / business preferred but not required)
• FINRA Licensing Exams (e.g., Series 7, Series 63, Series 24, etc.).
• Relevant project management certifications

What's in it for you?

• We thrive on the challenge to be our best, thinking progressively 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 and flexible benefits
• Work on a dynamic topic of strategic importance
• Ability to make a difference and lasting impact
• Work in an agile, collaborative, progressive, and high-performing team
• The opportunity to interface with executives from many different parts of the organization.

Job Skills

Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.