What is the opportunity?

12 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; and
• Providing 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 Blue Bay);
• 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; and
• Lead 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 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.

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
100 BISHOPSGATE:LONDON London United Kingdom 35 Full time WEALTH MANAGEMENT Contract (Fixed Term) Salaried 2024-09-13 2024-09-27