Assistant Manager, Capital Markets Compliance Initiatives

Job Description What is the opportunity?

In this role, you will be part of the European Capital Markets Advisory Compliance team based in London, Paris & Frankfurt. Reporting into the Head of CM Compliance Initiatives, you’ll support the delivery of key responsibilities to ensure 2

LOD advice and challenge on regulatory matters within the European Global Markets, Global Investment Banking, Corporate Banking and Research businesses.

Through co-ordination of team MI, tracking of Compliance deliverables and input into key tasks such as monitoring and training, you’ll be helping to protect RBC Capital Markets’ brand and enable the achievement of business goals through an integrated Compliance Culture and Compliance Programme across Capital Markets.

• Support effective use of the CM Compliance Team Tracker & Dashboard to ensure centralised tracking of team deliverables, timely completion of necessary tasks and an up to date source of information for use in MI;

• Provide support and assistance to the CM advisory team in respect of the preparation of Management Information, training materials and Compliance communications;

• Perform monitoring activities to ensure compliance with applicable policies & procedures;

• Perform analysis on Compliance datasets, to create overviews of trends for use in MI;

• Assist in the revision of Compliance policies, procedures and processes to enable RBCCM business units to comply with current regulatory and firm policy requirements;

• Support the broader CM Advisory team with triage and review of E-communications escalations; and

• Lead organisation of the bimonthly CM Compliance huddle, including preparation of the agenda and identification of key speakers.

• Strong interpersonal and communication skills, both written and oral;
• Ability to work on own initiative with limited supervision;
• Strong time management and organizational skills: ability to meet deadlines and work under pressure;
• Flexible: able to react promptly to shifting priorities
• Willing – and happy – to learn: the role will entail exposure to a wide variety of regulatory topics and will constantly evolve;
• Comfortable working in a changing environment; “partnership mentality”:
  Happy to share knowledge / expertise with colleagues (immediate team and business partners);
• Attention to detail; and
• Excellent analytical skills and a curiosity to understand the ‘why’.

• Experience in performing data analysis;
• An interest in developing an understanding of the Capital Markets businesses and the Compliance requirements that apply to them.

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, flexible benefits and competitive compensation
• Leaders who support your development through coaching and managing opportunities
• Opportunities to work with the best in the field
• 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.

RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additional details.

• Analytical Analysis
• Compliance Governance
• Data Analysis
• Effective Written Communication
• Microsoft Office
• Prioritization
• Regulatory Compliance
• Stakeholder Management
• Time Management

Address: 100 BISHOPSGATE:

LONDON

City: London

Country: United Kingdom

Work hours/week: 35

Employment Type: Full time

Platform: CHIEF LEGAL & ADMIN OFFICE GRP

Job Type: Regular

Pay Type: Salaried

Posted Date:

Final date to receive applications:

Applications will be accepted until 11:59 PM…