Join RBC Direct Investing as an Associate Director of Compliance in Toronto. Utilize your in-depth knowledge of securities regulations to facilitate business objectives and ensure regulatory adherence.
This vital role involves managing compliance oversight for order execution and robo-advisory services. You'll provide essential advisory support to senior management and front-line staff, conduct thorough compliance reviews, and develop training programs tailored to business needs. Your contribution will ensure that RBC Direct Investing operates within stringent regulatory standards.
Key Responsibilities:
• Identify and monitor securities regulatory risks
• Deliver compliance advisory services across divisions
• Lead compliance risk assessments for new initiatives
• Develop compliance policies and training materials
• Conduct reviews on various compliance matters
Requirements:
• Proven ability to analyze risk versus regulatory needs
• Outstanding communicati...