Senior Compliance Officer in London

An exciting opportunity to join our dynamic RBC BlueBay Compliance Advisory UK team as a Senior Compliance Officer, where you will play a vital role in providing expert compliance advice, managing regulatory risks, and driving key business initiatives. In this pivotal position, you will ensure RBC BlueBay’s adherence to regulatory requirements while actively contributing to the firm’s success. This is a unique opportunity to thrive in a collaborative environment and make a meaningful impact on both the organization and your professional growth.

What will you do?

• Provide expert regulatory advice on US rules and UK/EU compliance matters.
• Provide advice on ESG matters and cross border distribution of investment products and services into markets globally, including UCITS and Alternatives.
• Drive the alignment and integration with enterprise standards.
• Drive efficiencies and enhancements to existing Compliance controls and framework.
• Development, review and maintenance of robust Compliance Policies and Procedures for RBC BlueBay UK.
• Assist with the delivery of Compliance Management Information for periodic reports to the Board and Committees.
• Provide ongoing support to maintain the accuracy of RCM for the business areas covered and contributing to compliance risk assessments.
• Conduct Compliance Monitoring of business areas covered as required.
• Provide advice on general queries relating to Requests For Proposals and ensure the standard responses covering the Compliance department are up-to-date.
• Develop a training program and conduct compliance training to support business awareness and understanding of firm and regulatory standards.
• Participate in business projects and enterprise initiatives, offering compliance guidance.
• Support the compliance central teams with the delivery of testing and surveillance escalation and policy breaches closure.
• Monitor and manage compliance risks, ensuring adherence to regulatory requirements.
• Develop and maintain strong relationships with internal stakeholders.
• Proactively identify and address regulatory and reputational risks.

What do you need to succeed?

• Must-have Expertise in US rules, including SEC, ERISA and CTFC regulations relevant to asset management.
• Expertise in the investment fund industry, including proven experience with UCITS and Alternative products.
• Expertise in UK/EU regulatory environments, and FCA Handbook rules.
• Minimum of 5 years of experience in a role requiring knowledge of UK, EU and SEC regulation and legislation applicable to Asset Management.
• Experience of ESG Requirements and Standards.
• Excellent attention to detail and organizational abilities.
• Strong work ethic, positive, pro-active and adaptable attitude.
• Strong interpersonal and communication skills.
• Ability to work under pressure and meet deadlines.
• Strong team and growth mindset, with proven ability to collaborate effectively with relevant stakeholders.

Nice-to-have

• Familiarity with APAC and Middle East regulatory landscape, cross border distribution and pre-marketing rules.
• Commitment to professional development and continuous learning.

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.