Senior Manager/Assistant Director (37463 in England - London, United Kingdom

at RBC Wealth Management

Banking / Financial Services
Executive / Top Management
Minimum Qualification
Bachelor's Degree
Required Experience
7 - 10 years
Employment Type
Full Time
Male or Female

Job Description

To protect RBCCM’s brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:

• Aligning regulatory priorities with the Business and RBC;

• Creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;

• Establishing and maintaining a strong, effective control environment; and

• Identifying and communicating compliance risks inherent in the business to senior management and the business.


Senior Manager/Assistant Director within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting Global Markets businesses within RBCCM London.

Responsibilities Include:

• being the primary Compliance contact for Base Metals, Futures and FX;

• providing support to the primary compliance contact for FIC and DCM;

• keeping abreast of regulatory developments, in particular those arising local/European level and conducting the necessary analysis to assess the potential impact on Global Markets businesses;

• drafting appropriate compliance communications;

• providing pro-active and timely advice on regulatory and firm policy requirements;

• conducting product research driven by new product/business initiatives within Global Markets and providing the Compliance/regulatory input in relation to those initiatives for the desks for which you have primary responsibility;

• undertaking ad hoc compliance monitoring reviews;

• devising compliance policies, procedures and processes to enable Global Markets business units to comply with current regulatory and firm policy requirements;

• assisting in devising and delivering appropriate training and other forms of communication and monitoring adherence to such training and communications;

• participating as required in internal investigations into potential breaches of regulatory and firm policies; and advise and assist Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to global initiatives/projects. 


• Complete freedom of access to records relating to the business of RBC Group companies including investment business activity and members of staff involved in all such activities.

• Authority to act on behalf of RBC Group companies in dealings with the FSA in relation to matters requiring attention under the Act and/or the Rules and Regulations of the FSA.

• Being appropriately advised of business developments

• Having appropriate IT resources and budgets to be able to identify the risk.

• Having appropriate quantity and quality of expertise within the department to be able to fulfill the remit of my mandate. 


• Timely and technically accurate advice;

• Complete drafts of compliance guidance, policy and procedures (where the need for such communication has been identified);

• Creation and delivery of appropriate training modules for RBCCM front office staff (where the need for such training has been identified).

• Complete desk monitoring reviews as required.

Appropriate management of compliance personnel assigned to assist with regulatory matters comprising primary areas of responsibility.


• Martin Carbin, Director, Compliance Advisory Group

• Jeremy Thomas, Head of European Markets Compliance, RBCCM

• Primary Compliance contacts for Global Markets Businesses in London


• good understanding of the UK regulatory environment;

• good understanding of the FSA Handbook;

• good understanding of issues pertaining to public /private information flows;

• good understanding of Treating Customers Fairly Regime;

• good understanding of structured products, credit and equity finance and credit trading;

• general understanding of SYSC rules pertaining to managing potential conflicts of interest;

• excellent written and verbal communication skills;

• strong analytical skills;

• strong attention to detail;

• good interpersonal skills;

• general common sense;

• flexibility in attitude /approach to work;

• good use of initiative and organised.

• Good practical knowledge of Word, Excel and Power Point.


• Located in London, UK

• Office environment

• Moderate travel

• Fast pace/work under pressure

• Multi-tasking

• Attention to detail as well as strategic overview

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