Associate Director

5-7 years of relevant working experience
Post-secondary education or equivalent
Direct compliance or risk experience supporting Wealth Management
Working knowledge of and previous experience with Compliance Governance, Regulatory Compliance Management/OSFI E-13, and securities/regulatory environment
Generalist across multiple compliance subject areas
Strong knowledge of industry best practices relating to Compliance
Experience and ability to deal with senior leaders

Regulatory Compliance Management oversight responsibilities for Wealth Management and Insurance Canadian lines of business, including RBC DS, RBC DS Global Limited, Phillips, Hager & North Investment Counsel Inc., RBC Private Counsel (USA) Inc., RBC Royal Trust, among others.
Monitoring and reporting to VP and Compliance Oversight and Advisory Teams of key Risk Assessment and Issues Management metrics to ensure alignment with risk appetite measures
Perform periodic reviews of trigger events, regulatory content feed reviews and ad hoc self-assessments for impacted regulated entities
Provide support and coordination for the RCM program. Liaise closely with Compliance colleagues and other functions/1LOD partners where applicable to ensure a consistent RCM approach.
Manage various internal reporting requirements to provide meaningful, accurate and timely information to senior management, including in respect of RCM.
Additional general support includes guidance on Reg development/Assessable Unit Impact, RCM access, ad-hoc information requests, RegComp and CAMLA training, participation in various working groups, and ongoing review of RCM database for underlying data integrity.