Associate Director, Compliance

What is the opportunity?
The Associate Director, Compliance is an integral part of the RBC Compliance team supporting the Compliance program of RBC Global Asset Management in Canada (RBC GAM). This team of compliance professionals provides in-depth expertise in the regulatory requirements for the following registration categories: Investment Fund Manager, Portfolio Manager, Commodity Trading Manager, and Exempt Market Dealer. 

As an Associate Director, Compliance, you are a subject matter expert in various matters and work on the day-to-day development, implementation, maintenance, and oversight of the compliance program for RBC GAM. You proactively identify, interpret, design and apply securities regulations / compliance policies and procedures to complex products and transactions undertaken by RBC GAM. You conduct comprehensive second line of defense monitoring and testing activities of controls to assess and confirm effective compliance with internal policies, procedures and regulatory requirements.  

*This position can be based out of Toronto or Vancouver.*

What will you do?

• Analyze, interpret and summarize the impact of complex regulatory rules/ developments and requirements in a timely manner

• Assist in the creation and implementation of new or amended compliance policies and procedures

• Respond to compliance inquiries and advise/train internal departments on various subject matters including those related to trading, portfolio management, fund operations, conflicts of interest and other subject areas as may be designated by the Director, Compliance or Chief Compliance Officer

• Support the team’s execution of second line of defense Regulatory Compliance Management (RCM) activities including monitoring, testing, reporting, issue management and tracking

• Execute day-to-day compliance operational activities of the team and necessary tasks and reporting 

• Work effectively within a team environment, cross train and provide back-up to other members of the team as assigned

• Fulfill other responsibilities as assigned by the Director, Compliance or Chief Compliance Officer

What do you need to succeed?

Must-have:

• 2-4 years relevant regulatory compliance experience, preferably in the Canadian securities industry

• University or post-graduate degree (Business, Finance, Law is preferred)

• Knowledge of regulatory requirements including National Instruments 31-103, 81-102 and 81-107

• Excellent judgement and analytical skills - problem solving, curiosity, ability to simplify, desire to learn and grow

• Experience in policy drafting and amending, as well as timely delivery of other written material including regulatory analysis, self assessments, and summary reports

• Accuracy in work output, attention to detail and accuracy are essential

• Effective organization skills, including the ability to prioritize tasks and deadlines

Nice-to-have:

• Relevant securities industry courses and/or enrolled in Chartered Financial Analyst program (or a CFA charter holder)

What’s 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 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

• Opportunities to do challenging work

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

RBC CENTRE, 155 WELLINGTON ST W:TORONTOTorontoCanada37.5Full timeCHIEF LEGAL & ADMIN OFFICE GRPRegularSalaried2026-08-312026-09-14

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.