Associate Director, Compliance Operations and Financial Management

Overview

WHAT IS THE OPPORTUNITY?

The Associate Director of Compliance Operations & Financial Management will execute day-to-day financial and resource governance for the Compliance function, ensuring disciplined oversight of budgets, full time employees, and organizational structure. This role will help lead the operational backbone of Compliance, managing the staff request process, financial controls, and resource allocation and executing strategic financial planning and enterprise-wide cost initiatives. This individual contributor will also support the broader team on business management activities and may be engaged to assist on technology portfolio matters as needed.

• Manage the staff request process and track metrics for full time employees across the Compliance function, ensuring alignment with organizational structure deliverables and staffing plans.
• Exercise financial control and oversight for Compliance operations, establishing governance controls through KPI tracking in critical expense lines, budget monitoring, and spend analysis to support informed decision-making.
• Develop and maintain internal Compliance function policies and procedures for financial governance, hiring resource management, and budget spending, ensuring alignment with Functions Finance and RBC Enterprise policies.
• Lead the execution of financial planning, forecast updates, and cost allocation exercises; conduct financial and FTE analyses to support Compliance's strategic initiatives and provide data-driven insights to leadership.
• Drive key business management initiatives on behalf of Compliance within the Law Group and Compliance Group (LACG) / RBC Enterprise, including the Annual Functions Review, Enterprise Cost Champion activities, and other delegated priorities.
• Manage high-level administrative activities related to resource allocation and organizational structure deliverables, track and report on operational metrics and budget performance to the Director of Strategy & Operations and senior leadership.
• Support the Director of Strategy & Operations on compliance function policies and procedures, providing recommendations on financial governance and resource optimization.
• Engage with and assist the technology portfolio team as needed, providing financial analysis and resource planning support for compliance technology initiatives.

Must have:

• Bachelors degree. 5+ years of financial management, operations, or program delivery experience, with demonstrated capability in managing complex budgets, resource allocation, and organizational change within matrix environments.
• Ability to work effectively in a matrix environment with multiple stakeholders across functions and geographies.
• Demonstrated skill in process management and continuous improvement; experience managing complex operational and financial processes at scale.
• Accountability, leadership, initiative, teamwork, and the ability to drive impact and influence across the organization. Strong business orientation with the ability to understand stakeholder needs, address conflicts, and prioritize competing priorities effectively.
• Advanced communications skills, both written and verbal, with the ability to present financial and operational insights to senior leadership. Advanced research and analytical skills with the ability to translate complex data into actionable recommendations. Ability to maintain confidentiality of highly sensitive information.

Nice-to-have
:

• JD, Master’s Degree, or other designations (e.g., CFA)

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.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• A world-class training program in financial services
• Flexible work/life balance options
• Opportunities to do challenging work

For New York/New Jersey:
The good-faith expected salary range for the above position is $120,000 - $200,000 depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance;

and paid time-off plan.

Audits, Budgeting, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Management, Financial Regulation, Industry Knowledge,…