Job Summary

Établir des programmes de conformité efficaces pour l’unité opérationnelle afin de prévenir ou de repérer les pratiques commerciales illégales, peu scrupuleuses ou inappropriées. S’appuyer sur un ensemble complet et approfondi de pratiques, de connaissances et d’aptitudes pour réaliser des affectations complexes.

Job Description

What is the opportunity?

8 months FTC - Associate Director, Compliance Testing. As a leader within the UK Compliance Testing team, the Associate Director, Compliance Testing supports local Chief Compliance Officers (CCOs) in fulfilling their responsibilities defined under the RBC Regulatory Compliance Management Framework.

Specifically, their role in:  

Confirming regulatory outcomes have been met and assessing the adequacy of, adherence to and the effectiveness of the day-to-day controls to manage regulatory compliance risk; andProviding an opinion to senior for a on the effectiveness of the Regulatory Compliance Management (RCM) controls in achieving compliance with applicable regulatory requirements

What will you do?

Oversee and, where required, lead the completion of effective risk assessments to drive the UK (European for Capital Markets) Compliance Testing Plan; with limited oversight from the Head of Compliance Testing Europe;With limited oversight from the Head of Compliance Testing, Europe:Lead and deliver timely and accurate compliance testing reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk (across Capital Markets, WM UK, RBC Brewin Dolphin & RBC BlueBay); Work with Compliance and business colleagues to track and advise (where appropriate) on the appropriateness of actions plans to resolve issues identified during testing reviews;Drive the continual enhancement of the testing approach and annual testing program (including developing/improving the approach to continuous business testing and, where relevant, delivering consistency/change through Enterprise Monitoring and Testing working groups);Under the direction of the Head of Compliance Testing, Europe, deliver timely responses to internal audit and external regulatory enquiries; andLead ad-hoc projects and activities as required (methodology improvements; stakeholder management; committee reporting).

What do you need to succeed?

Must-have

Extensive background in Compliance testing, monitoring and planning. Bachelor’s degree. Strong planning and organisation skills, coupled with solid analytical & problem solving capabilities.

Nice-to-have

Qualifications in auditing, monitoring or risk.

What is 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.

 A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensationLeaders who support your development through coaching and managing opportunitiesOpportunities to work with the best in the fieldAbility to make a difference and lasting impactWork in a dynamic, collaborative, progressive, and high-performing teamA world-class training program in financial servicesFlexible working options fully supported.

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

100 BISHOPSGATE:LONDON

City:

London

Country:

United Kingdom

Work hours/week:

35

Employment Type:

Full time

Platform:

WEALTH MANAGEMENT

Job Type:

Contract (Fixed Term)

Pay Type:

Salaried

Posted Date:

2025-07-22

Application Deadline:

2025-08-02

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.

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