Associate Director, Compliance, Capital Markets

Job Description

What is the opportunity?

As Associate Director, Capital Markets (‘CM’) Compliance for Singapore and Hong Kong, you will support Singapore and Hong Kong’s Global Markets and Global Investment Banking businesses, advising on their various local and global regulatory obligations. You will report to the Head of Capital Markets Compliance, Singapore and Hong Kong.

What will you do?

• Maintain a detailed knowledge of applicable regulations, best practices and relevant internal RBC policies and procedures;
• Conduct annual risk assessments, including the check and challenge of 1LOD risk assessments for CM Singapore and Hong Kong;
• Identify control/governance gaps and track remediation in relevant internal tools, working with the 1LOD to identify appropriate owners, deadlines and required evidence of remediation;
• Designing and maintaining Compliance policies and procedures to address identified regulatory risks;
• Devising and delivering compliance training to business stakeholders;
• Collaborating with colleagues in other regions and other Compliance and Control functions, including: Trade Surveillance; Monitoring & Testing; Central Services; Operational Risk and others to support RBCCM’s risk management;
• Advise on the application of current and future regulatory requirements;
• Draft and present Compliance Management Information; and
• Review, advise and draft appropriate text from a compliance perspective for New Business Initiatives.

What do you need to succeed?

Must-have

• Degree educated;
• Minimum 5 years’ experience in related compliance role;
• Good understanding of Capital Markets business;
• Solid understanding of the Singapore Regulatory Requirements;
• Strong presentation skills; and
• Strong attention to detail.

Nice-to-have

• Compliance Advisory experience.
• Understanding of Hong Kong’s Regulatory requirements.
• Good understanding of issues pertaining to public /private information flows; and
• Understanding of Global regulatory requirements (examples: Global FX Code; SEC; CFTC; FCA; OSFI).

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; and
• A world-class training program in financial services.

Agency Notice

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 additio nal details.

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

8 MARINA VIEW, #26-01 ASIA SQUARE TOWER 1:SINGAPORE

City:

Singapore

Country:

Singapore

Work hours/week:

40

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

Application Deadline:

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

I nclusion and Equal Opportunity Employment

At 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.

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