Compliance Analyst

What is the opportunity

As Compliance Analyst you are accountable for the administration of RBC Enterprise personal trading policy internal control framework with respect to information barriers personal trading and conflicts of interest. You will conduct monitoring and testing as assigned identify potential conflicts of interest and escalate to management as required. You will also develop and maintain strong working relationships with business management in order to adequately support the business. Ensure that an organizations operations and procedures meet government and industry compliance standards. Applies complete knowledge skills and practices to perform assignments.

What will you do

• Administer the Capital Markets and Enterprise Personal Trading Policy by ensuring that employees newly identified as being subject to the program are (a) correctly categorized (eg. subject to RBC windows other trading restrictions required to pre-clear required to bring personal and related person accounts to approved dealer) and (b) apprised of and perform their responsibilities under the policy. This includes collecting the Employee Disclosure Forms when employees are made subject to the policy and the annual refreshment
• Administer the policy and make recommendations to Control Room management regarding conflicts of interest arising from personal trading outside business activities and private investments and ensure that appropriate records are maintained
• Serve as main point of contact for Capital Markets monitored employees regarding personal trading inquiries and policy interpretation.
• Facilitate trade preclearance requests in accordance with internal policies and regulatory requirements
• Distribute Employee Disclosure Form to RBC and RBCCM new hires/transfers; act as employee facilitator; respond to queries; follow-up with non-respondents; and escalate to management or department heads as necessary
• Assist with daily surveillance activities related to personal trading as applicable under Control Room policies and procedure
• Support assessment to determine appropriate monitoring status and compliance requirements for employees
• Collaborate with the broader compliance team to maintain accurate records and ensure alignment with firm policies
• Recommend process and design enhancements within responsibilities including leveraging new technology whenever possible
• Assist with the maintenance of MyComplianceOffice (MCO) data on employee profiles

What do you need to succeed

Must have

• 2 years of experience in the financial services industry
• Demonstrated knowledge of applicable regulatory and internal policy requirements and all others as applicable
• Ability to work and flourish in a fast-paced environment
• University degree or equivalent education
• Ability to work independently managing various high priorities
• University degree or equivalent education

Nice to have

• Securities industry related courses and qualifications are a key asset

Whats 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.

• Ability to make a difference and lasting impact
• Work in a dynamic collaborative progressive and high-performing team
• Opportunities to take on progressively greater responsibilities

Job Skills

Additional Job Details

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.