Assistant Manager, Compliance UK
City of London, London, City of, United Kingdom
9d ago

What is the opportunity?

  • Work as part of the Team providing Regulatory Services to RBC Capital Markets, Wealth Management, Global Asset Management and Investor & Treasury Services London platforms.
  • Support the delivery of the responsibilities of the Regulatory Policy and Services team on a timely and consistent basis and in accordance with agreed service levels.
  • Support the development of a strong and consistent compliance culture across all areas of Capital Markets, Wealth Management, Global Asset Management and Investor & Treasury Services operations in London.
  • Provide support as required to other Capital Markets, Wealth Management, Investor & Treasury Services and Global Asset Management offices across Europe.
  • What will you do?

  • Support the ongoing operation of RBC London's Regulatory Services team, as directed.
  • The core activities of the Regulatory Services team in London impacting on the employee will include : supporting other team members in the processing and administration of core employee conflicts managements tasks such as new joiner disclosures and requests for approval for, and reviews of, personal account dealing, gifts and entertainment, private investments and outside business interests;
  • maintaining and continually seeking to enhance the team’s processes to achieve greater efficiency and effectiveness;reviewing employee trading statements to identify potential policy breaches;
  • monitoring the completion of training;approving and rejecting front office book requests and maintaining a log;compiling and contributing to reporting;
  • other team tasks and processes as required;assisting in creating and updating procedures and processes and enabling Business units to comply with their regulatory requirements;
  • maintaining RBC’s London Compliance Intranet site; andproviding assistance and absence cover for team members.

  • Own and be accountable for all responsibilities and maintain a high standard of work and professionalism.
  • What do you need to succeed?


  • Preferably educated to at least final degree level, ideally in a subject that can support the role (e.g.
  • finance, business, etc)

  • Previous experience preferable but not essential.
  • Previous relevant experience may include working with : Employee conflicts management systems, processes and policiesGeneral regulation and compliance matters

  • Experience in making judgements from applying policies and processes to non-routine scenarios with imperfect information
  • Proficient in MS Excel and demonstrated proficiency with MS Word, MS PowerPoint and Sharepoint
  • Employee conflicts management systems and processes
  • 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.

    About RBC

    Royal Bank of Canada is Canada’s largest bank, and one of the largest banks in the world, based on market capitalization.

    We are one of North America’s leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis.

    We have over 80,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S.

    and 37 other countries.

    For more information, please visit

    Inclusion and Equal Opportunity Employment

    RBC is an equal opportunity employer committed to diversity and inclusion.

    We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal / Native American status or any other legally-protected factors.

    Disability-related accommodations during the application process are available upon request.

    City : City of London

    Address : Riverbank House

    Work Hours / Week : 35

    Work Environment : Office

    Employment Type : Permanent

    Career Level : Experienced Hire / Professional

    Position Level : PL09

    Required Travel(%) : 0-25

    Exempt / Non-Exempt : N / A

    People Manager : No

    Application Deadline : 01 / 31 / 2019

    Req ID : 179406

    Flexible Working Options Considered

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