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- Tasks: Provide expert compliance advice and manage regulatory risks in a dynamic environment.
- Company: Join RBC BlueBay, a leading firm in financial services with a collaborative culture.
- Benefits: Enjoy competitive compensation, flexible working options, and a world-class training programme.
- Why this job: Make a meaningful impact while growing your career in a high-performing team.
- Qualifications: 5+ years of experience in compliance with expertise in US and UK/EU regulations.
- Other info: Be part of a diverse workplace that values respect, collaboration, and professional growth.
The predicted salary is between 48000 - 72000 £ 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?
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.
Senior Compliance Officer 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
✨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 job openings and even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of US and UK/EU regulations. Be ready to discuss how your expertise aligns with RBC's needs, especially around ESG matters and compliance frameworks.
✨Tip Number 3
Showcase your soft skills! Strong interpersonal and communication abilities are key in compliance roles. During interviews, share examples of how you've effectively collaborated with stakeholders to drive compliance initiatives.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, you’ll find all the latest opportunities tailored to your skills and interests.
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your expertise in US rules and UK/EU compliance matters. We want to see how your experience aligns with the role of Senior Compliance Officer, so don’t hold back!
Showcase Your Skills: Emphasise your strong attention to detail and organisational abilities. Mention specific examples where you've successfully managed compliance risks or developed robust policies. This is your chance to shine!
Be Authentic: Let your personality come through in your application. We value a positive, proactive attitude, so don’t be afraid to show us who you are and how you can contribute to our collaborative environment.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity. Don’t miss out!
How to prepare for a job interview at Royal Bank of Canada
✨Know Your Regulations
Make sure you brush up on US rules, UK/EU compliance matters, and ESG requirements. Being able to discuss these topics confidently will show that you're not just familiar with the regulations but can also provide expert advice.
✨Showcase Your Experience
Prepare specific examples from your past roles that highlight your expertise in compliance, particularly in asset management. Use the STAR method (Situation, Task, Action, Result) to structure your responses and demonstrate how you've successfully navigated regulatory challenges.
✨Engage with Stakeholders
Since building relationships is key, think of ways you've effectively collaborated with internal stakeholders in previous positions. Be ready to discuss how you can foster strong connections within the team at RBC BlueBay.
✨Demonstrate a Growth Mindset
RBC values continuous learning, so be prepared to talk about how you've pursued professional development in the past. Share any training programs you've developed or participated in, and express your enthusiasm for ongoing growth in the compliance field.