Job Description

Job Summary

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What is the opportunity?

Act as the key relationship manager and Compliance advisor for all private-side business units within RBC Capital Markets (Canada) and escalation of conflicts arising from Global Research. Responsible for managing all aspects of monitoring and testing within the Canadian Control Room, and updates to policies and procedures owned by the Canadian Control Room. Responsible for conflict management process for Corporate and Investment Banking businesses.

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What will you do?

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Responsible for maintaining the firm's Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.g., Research, Sales & Trading) and the private side areas (e.g., Investment Banking, Capital Markets, Leverage Finance)

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Maintain the Firm's Watch and Restricted Lists. Implement restrictions pursuant to securities laws and Firm policies and procedures

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Review the Firm's Research prior to publication to ensure it adheres to regulatory requirements

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Advise Research, Investment Banking and various origination groups

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Collaborate with regional Compliance and Law Group colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers

HR management responsibilities for the Associate Directors, Compliance Officers and Compliance Analyst within the Canadian Control Room. Responsible for assisting with conducting annual and other ad hoctraining of all supported business segments. Responsible for assisting with responding to compliance-related audit examinations and regulatory requests involving all supported business segments.

What do you need to succeed?

5 to 10+ years of relevant experience Ability to work independently while also being able to work effectively in a team environment Non-traditional hours may be required - schedule flexibility to provide coverage to various business lines. Ability to work under short deadlines and make quick and reasoned decisions Control Room experience and managing a team

What's 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.

Leaders who support your development through coaching and managing opportunities Ability to make a difference and lasting impact Work in an agile, collaborative, progressive, and high-performing team The opportunity to interface with senior level executives from many different parts of the organization

Job Skills

Audits Compliance, Capital Markets, Conflicts of Interests, Critical Thinking, Decision Making, Financial Regulation, Industry Knowledge, Information Barriers, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-07-10

Application Deadline:

2025-07-26

Note

:

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

I

nclusion

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.

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