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- Tasks: Provide expert compliance advice and manage regulatory risks in a dynamic team.
- Company: Join RBC BlueBay, a leading financial services firm with a collaborative culture.
- Benefits: Enjoy competitive compensation, flexible benefits, and world-class training opportunities.
- Other info: Work in a high-performing team with flexible working options and a commitment to professional development.
- Why this job: Make a meaningful impact while growing your career in a progressive environment.
- Qualifications: 5+ years of experience in compliance with strong knowledge of UK/EU and SEC regulations.
The predicted salary is between 36000 - 60000 £ per year.
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?
- 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.
Senior Compliance Officer in London employer: Royal Bank of Canada
Contact Detail:
Royal Bank of Canada Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field, especially those who work at RBC or similar firms. A friendly chat can lead to insider info about the role and even a referral.
✨Tip Number 2
Prepare for the interview by brushing up on your knowledge of US rules and UK/EU compliance matters. Be ready to discuss how your expertise aligns with RBC's needs and how you can drive efficiencies in their compliance framework.
✨Tip Number 3
Showcase your soft skills! Strong interpersonal and communication skills are key in compliance roles. Think of examples where you've successfully collaborated with stakeholders or led training sessions.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you're serious about joining the RBC team and contributing to their success.
We think you need these skills to ace Senior Compliance Officer in London
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience with US rules and UK/EU compliance matters. We want to see how your background aligns with the specific requirements of the Senior Compliance Officer role.
Showcase Your Expertise: Don’t hold back on showcasing your knowledge in the investment fund industry, especially with UCITS and Alternative products. We’re looking for someone who can hit the ground running, so let us know what you bring to the table!
Be Clear and Concise: When writing your application, keep it clear and to the point. Use bullet points where possible to make it easy for us to see your key achievements and skills. Remember, attention to detail is crucial in compliance!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way to ensure your application gets into the right hands and shows us you’re serious about joining our team at RBC BlueBay.
How to prepare for a job interview at Royal Bank of Canada
✨Know Your Regulations Inside Out
As a Senior Compliance Officer, you'll need to demonstrate your expertise in US rules and UK/EU compliance matters. Brush up on SEC, ERISA, and FCA Handbook rules before the interview. Be ready to discuss how these regulations impact asset management and share examples of how you've navigated complex compliance scenarios.
✨Showcase Your ESG Knowledge
Given the importance of ESG matters in this role, make sure you can articulate your understanding of ESG requirements and standards. Prepare to discuss any relevant experience you have with ESG compliance and how it relates to investment products. This will show that you're not just knowledgeable but also passionate about current trends in compliance.
✨Demonstrate Strong Interpersonal Skills
This position requires building strong relationships with internal stakeholders. During the interview, highlight your communication skills and provide examples of how you've successfully collaborated with teams in the past. This will help convey that you're a team player who can thrive in a collaborative environment.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your critical thinking and decision-making abilities. Think of specific situations where you've had to manage compliance risks or drive efficiencies in compliance controls. Use the STAR method (Situation, Task, Action, Result) to structure your responses clearly and effectively.