Job Description
What is your opportunity?As the Manager, Trading Disclosure Compliance, you will be a key member of the Canada Control Room team, responsible for overseeing the firm’s Employee Compliance Monitoring programs with a focus on personal account dealing, employee disclosures, and monitored employee oversight.Your role plays a critical part in safeguarding the firm’s Information Barriers by ensuring that employees with access to material non-public information, confidential information, insider, or confidential information comply with all applicable trading restrictions and disclosure requirements. You will also serve in an advisory capacity, providing expert guidance to employees, business leaders, and other stakeholders on compliance obligation, personal trading restrictions, and information barrier protocols.
What will you do?
Oversee the day-to-day operations of the Employee Disclosure and Personal Trading Monitoring program within the Control Room, ensuring timely and accurate processing of all disclosures, account dealing
Provide real-time support for trade preclearance request
Review daily and monthly trade reports, outside business activities and private investment request to identify and escalate potential conflict of interest or compliance concerns
Manage escalation review, investigate potential breaches, and determine appropriate follow-up actions in consultation with senior compliance management team
Provide advisory support to employees and business units regarding personal trading rules, disclosure requirements, and information barrier protocols, ensuring clarify and consistency in guidance
Participate in a rotation to provide coverage for the Control Room Compliance Hotline during business hours, ensuring timely and professional responses to inquiries
Ensure compliance for employees classified as “monitored” due to access to material non-public information, confidential information, inside information, upholding strict adherence to the firm’s information barrier program
Proactively identify potential compliance issues and trends within monitoring data, raising concerns to senior management
Experience conducting Compliance surveillance reviews and/or developing and implementing Compliance policies and procedures.
Ability to work and flourish in a fast-paced environment
Ability to work independently, managing various high priorities
Experience in the securities regulatory environment
Strong verbal and written communication skills
Advanced Excel user
University degree in business, finance, economics or other related discipline combined with 3+ years of progressive Compliance or related experience.
Data analysis experience
Securities industry related courses
A comprehensive Total Rewards Program including bonuses and flexible benefits
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 executives from many different parts of the organization
Additional Job Details
Address:
RBC CENTRE, 155 WELLINGTON ST W:TORONTO
City:
TorontoCountry:
CanadaWork hours/week:
37.5Employment Type:
Full timePlatform:
CHIEF LEGAL & ADMIN OFFICE GRPJob Type:
RegularPay Type:
SalariedPosted Date:
Final date to receive applications:
Note: Applications will be accepted until 11:59 PM on the day prior to the Final date to receive applications date aboveInclusion 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…
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