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Compliance Manager

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RBC

2d ago

  • Job
    Full-time
    Senior Level
  • Legal
  • London
  • 8d left

AI generated summary

  • You must have strong communication skills, compliance experience in Private Side & Research, knowledge of UK financial legislation, ability to challenge effectively, and a detail-oriented, team-oriented approach.
  • You will manage Control Room activities, design policies, deliver Compliance training, monitor regulatory adherence, guide the front office, investigate breaches, and handle ad-hoc assignments.

Requirements

  • Must-have
  • Excellent written and verbal communication skills.
  • Relevant Compliance experience handling Private Side & Research queries.
  • Knowledge of primary and secondary UK financial services legislation.
  • Knowledge of Investment Banking businesses.
  • Ability to challenge the front line, where appropriate, and handle difficult conversations.
  • Ability to work well in a team and build relationships at all levels of the bank.
  • Aptitude for accuracy, attention to detail, and hands-on approach.

Responsibilities

  • Undertake any tasks as may be required in respect of Control Room activities including but not limited to clearance of Research escalations, maintenance of Watch & Restricted Lists, deal updates, Information Barrier management, disclosures to the Takeover Panel
  • Design and maintain policies and procedures to address identified regulatory risks, maintaining a detailed knowledge of applicable regulations, best practices and relevant internal RBC policies and procedures.
  • Devise and deliver Compliance training.
  • Conduct monitoring activities in line with the team’s monitoring framework.
  • Issue guidance to the front office regarding regulatory requirements.
  • Investigate breaches of policy and prepare associated paperwork.
  • Undertake ad-hoc assignments as required.

FAQs

What is the job title for this position?

The job title is Compliance Manager.

What team will the Compliance Manager be a part of?

The Compliance Manager will be part of the Capital Markets Compliance team for RBCCM Europe.

What are the main responsibilities of the Compliance Manager?

The main responsibilities include managing Control Room activities, maintaining policies and procedures related to regulatory risks, delivering Compliance training, conducting monitoring activities, issuing regulatory guidance, investigating policy breaches, and undertaking ad-hoc assignments.

What qualifications are required for a Compliance Manager?

Candidates must have excellent written and verbal communication skills, relevant Compliance experience, knowledge of UK financial services legislation, familiarity with Investment Banking businesses, and an ability to handle difficult conversations.

What is the work schedule for this position?

The position requires a commitment of 35 hours per week.

Is this position full-time or part-time?

This position is full-time.

Where is the job location?

The job is located at 100 Bishopsgate, London, United Kingdom.

What benefits are offered with this role?

The role includes a comprehensive Total Rewards Program, opportunities for professional development, flexible working options, and a collaborative team environment.

What is the application deadline for this position?

The application deadline is December 29, 2024.

Does RBC support diversity and inclusion in their hiring process?

Yes, RBC is committed to diversity and inclusion, providing equitable workplaces and striving to support diverse talent, clients, and communities.

Will there be opportunities for professional development?

Yes, there are opportunities for professional development through coaching and management support.

Is prior agency involvement accepted for hiring?

No, RBC Group does not accept agency resumes without a prior agreement.

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RBC

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Finance
Industry
10,001+
Employees
1864
Founded Year

Mission & Purpose

Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 88,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada’s biggest bank, and one of the largest in the world based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at rbc.com/community-social-impact.