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
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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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