Associate Director, Compliance Monitoring

Step into a key role within our Compliance Department, where our primary goal is to uphold the highest standards of regulatory compliance and safeguard the integrity across our wealth management operations. Our team plays a critical role in ensuring that our business activities align with regulatory requirements, fostering a culture of compliance awareness throughout the organization, driving excellence through proactive monitoring and innovative practices. Our Compliance team offers a dynamic work environment that promotes strong collaboration, reflecting our core value of diversity and inclusion. We are dedicated to maintaining a high-performance, solution-focused team that consistently delivers value to business. What will you do?

• Champion the embedding of a compliance awareness culture throughout the business.
• Develop and maintain the Compliance Oversight Plan, including continuous improvements, enhancements, and efficiencies.
• Design, evaluate, oversee and assess new and existing compliance monitoring tasks which may include regular and ad hoc reviews, to ensure they meet current and new regulations with minimal supervision from the Head of Compliance Monitoring
• Maintain knowledge on industry developments, regulatory changes, company policies and procedures as appropriate to effectively discharge the role.
• Undertake investigations, assessments, and reviews as required or requested to assess business adherence within our Wealth Management Business.
• Provide regular reports and MI on operational activity of the team, findings, trends and any regulatory issues.
• Escalate and report any concerns identified to the Head of Compliance Monitoring and/or Head of Compliance Oversight, where possible providing plans/recommendations to mitigate risks/issues.
• Liaise with and provide assistance to Group Internal Audit, Project Managers and other parts of Risk and Compliance in matters relevant to Compliance Monitoring which affect Brewin Dolphin's business activities.
• Deputize for Head of Compliance Monitoring as appropriate, including attending and actively participating in certain governance committees., 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.
Job Skills Audits Compliance, Compliance Monitoring, Compliance Oversight, Critical Thinking, Data Gathering Analysis, Decision Making, Design, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Planning Ability, Product Services, Regulatory Compliance, Regulatory Compliance Management, Risk Management, Strategic Thinking


• Extensive relevant industry experience, preferably in the wealth management space.
• Thorough compliance monitoring expertise in areas such as Investment management (e.g. client advice, suitability, best execution oversight) and financial planning.
• Strong understanding of regulatory requirements and compliance monitoring practices.
• Excellent analytical and conceptual thinking skills to identify and respond to trends.
• Strong communication and collaboration skills, with experience in interacting with senior management, control functions and regulators.
• Excellent problem-solving skills and consistently displays evidence of lateral thinking when solving problems.
• Ability to make sound decisions based on internal and external factors and manage risk effectively.
• Excellent planning, organisational skills, and attention to detail.
Nice to have:
• Strong data literacy and data skills applied to the monitoring context, with ideally previous exposure to AI integration.
• Experience in Financial Planning
  
  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 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
• Flexible working options fully supported., 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 embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities. We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process. Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at .