Associate Director, Currencies and RCM program
City : TORONTO, Ontario, Canada
Category : Audit | Compliance | Legal | Risk
Industry : Financial/Banking
Employer : RBC
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Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.
Job Title
Job Description
What is the opportunity?
To support the Director, Macro Advisory Compliance, by acting as the relationship manager and subject matter expert for Currencies sales and trading groups and manage the RCM program for Advisory. Responsible for providing ongoing advice to the business on the impact of regulatory and internal change, as they occur, and to provide support for daily inquiries. Participate, as a subject matter expert, in external working groups in “requests for comments” as received from Canadian regulators. Participate in external or industry working groups as needed. Review and maintain internal policies and procedures that govern the business, and other tasks, as they arise.
What will you do?
Support Director in relationship management with Currencies sales and trading front office personnel;
Provide regulatory advice on Currencies sales and trading practices;
Support the Advisory team in managing the Regulatory Compliance Management (RCM) program
Assist in regulatory inquiries, examinations and reporting responses to regulatory bodies;
Assist in the development of compliance programs with respect to Currencies including maintenance of policies and procedures
Conduct monitoring activity to ensure covered subject business is in compliance with applicable regulations and policies
Conduct reviews of escalated electronic communications as it relates to e-mail, instant messaging and new communications systems. Resolve any escalate issues on a timely fashion
What do you need to succeed?
Must-have
5+ years of progressive Compliance or related experience
Strong understanding of the Global FX Code of Conduct
Relevant work experience within a broker dealer, ideally Capital Markets (front, mid, back office) or equivalent experience with Regulator(s)
Completion of the Canadian Securities Course and Conduct and Practices Handbook Exam
University degree in business, finance, economics or other related discipline
Strong presentation skills in a group setting.
Nice-to-have
Previous experience in FX trading or support
Ability to navigate in a large organization
Experience collaborating with business partners to assess regulatory risk and improve risk management programs, controls and practices
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.
A comprehensive Total Rewards Program including bonuses and flexible benefits and competitive compensation
Leaders who support your development through coaching and managing opportunities
Work in a dynamic, collaborative, progressive, and high-performing team
Opportunities to do challenging work
Job Summary
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