Director, Fixed Income, Commodities & Currencies; FICC Advisory

Position: Director, Fixed Income, Commodities & Currencies (FICC) Advisory )
WHAT IS THE OPPORTUNITY
You'll be the trusted regulatory authority for Fixed Income, Currencies and Commodities (FICC) across RBC Capital Markets—both as a strategic advisor and as the leader of a small, specialized compliance team. You'll advise our sales, trading, and business teams on complex regulatory matters while building and mentoring a high-performing team that shares your commitment to excellence. You'll work closely with senior leadership, regulators, and industry peers to shape how RBC approaches evolving FICC rules and standards.

This is a high-impact role for someone who thrives at the intersection of regulation, strategy, and business operations—and who enjoys developing talent.

WHAT WILL YOU DO?
Regulatory Advisory & Guidance

Serve as the subject matter expert on Canadian and global FICC regulations, including CIRO Dealer Member Rules, FX Code, Montreal Exchange rules, and FMSB standards

Provide timely, expert compliance advice to sales, trading, and other business segments on business conduct, market conduct, and transactional matters

Interpret complex regulatory frameworks and translate them into actionable guidance for business stakeholders at all levels

Mentor your team to handle routine matters independently while escalating complex issues appropriately

Strategic Compliance Leadership

Lead special projects and regulatory change initiatives assigned by the Head of Macro Compliance Advisory or Chief Compliance Officer

Drive organizational readiness for evolving compliance requirements, develop implementation roadmaps, and ensure timely adoption across the business unit

Demonstrate measurable impact on compliance effectiveness and regulatory standing

Balance hands‑on involvement in key initiatives with delegation to your team members to build their capabilities

Team Leadership & Development

Lead a small, focused compliance team

Set clear expectations, provide coaching and mentorship, and create opportunities for your team to develop regulatory expertise and advance their careers

Foster a collaborative environment where team members feel supported and invested in their growth, distribute work thoughtfully to challenge your team while maintaining advisory coverage across the business

Policy Development & Risk Management

Develop and enhance policies and procedures that support the compliance program

Identify potential compliance vulnerabilities, assess associated risks, and develop corrective action plans

Provide forward‑looking guidance to prevent issues before they escalade

Respond to alleged violations by evaluating concerns and recommending or initiating investigative procedures as appropriate

Ensure your team understands and can apply these policies consistently

Regulatory & Industry Relationships

Act as a key liaison with CIRO and other regulatory bodies, managing inquiries, audits, and regulatory interactions with transparency and professionalism

Actively participate in industry working groups and internal cross‑functional initiatives where your expertise adds value

Build and maintain collaborative relationships with internal teams, regulators, and external stakeholders

Represent RBC's compliance posture with credibility and confidence

Compliance Monitoring & Oversight

Monitor compliance and ethics initiatives within the business unit, providing proactive guidance to management on compliance‑related matters

Support general Capital Markets and RBC enterprise compliance policy implementation across your area of responsibility

Work with your team to identify trends, elevate emerging risks, and refine monitoring protocols

WHAT DO YOU NEED TO SUCCEED?
Must have

Bachelor's degree in law, finance, business administration, or a related field

Minimum of 10 years of progressive experience in compliance, supervision, or front‑office roles within Capital Markets, with substantial focus on FICC products including Repo

In‑depth knowledge of Canadian FICC regulations and demonstrated ability to interpret and apply complex regulatory frameworks in a real‑world business context

Proven success managing or leading a team, even in an informal capacity

Proven track record of successfully leading projects, driving change…