Job Description
What is the opportunity?
The Manager, Trading Disclosure Compliance is 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 employe oversight. This role plays a critical part in safeguarding the firm’s Information Barriers by ensuring that employes with access to material non-public information, confidential information, insider, or confidential information comply with all applicable trading restrictions and disclosure requirements. The Manager, also serves 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
- Conducting annual and routine ad hoc training of all supported business segments
- Provide guidance and advise to employees across all levels within the firm, including Senior Executive
- Provide real-time support for trade preclearance request
- Onboard employes to the monitoring program and maintain accurate monitor profiles
- Assist in data validation and reconciliation efforts to ensure accuracy in monitoring reports and employee profiles
- 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
- Collaborate with IT, operations, and regional Compliance colleagues to improve data integrity, reporting capabilities, and automation of compliance monitoring system.
- Assist with responding to compliance-related audit examinations, regulatory requests, and internal investigations involving all supported business segments
- Drive continuous improvement initiatives by identifying gaps or inefficiencies in the monitoring program and collaborating with cross-functional teams to implement solution.
What do you need to succeed?
Must have
- University degree or equivalent education
- 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
Nice to have
- Data analysis experience
- Securities industry related courses and qualification
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 through:
- Leaders who support your development through coaching and managing opportunities
- Working in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic ThinkingAdditional Job Details
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Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Inclusion 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 innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.
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