Manager, Compliance Monitoring

Assess adequacy, adherence to, and effectiveness of day-to-day controls for regulatory compliance risk.

Provide an opinion on the effectiveness of Regulatory Compliance Management (RCM) controls.

Support development and execute the Compliance Monitoring Plan, including continuous improvements.

Design, evaluate, oversee, and assess new and existing compliance monitoring tasks.

Support the activities of the Compliance team and champion the embedding of a compliance awareness culture.

Carry out 2LoD monitoring tasks as required by the Compliance Monitoring Plan, and other ad hoc project/reporting work.

Escalate and report any concerns identified to the Head of Compliance Monitoring, providing plans/recommendations to mitigate risks/issues.

Ensure the Head of Monitoring and other relevant stakeholders within Head Office (UK) are kept appraised.

Actively seek and identify viable areas of monitoring benefiting from data-driven testing, AI, and automation.

Production of high-quality MI.

Maintain knowledge on industry developments, regulatory changes, company policies and procedures.

Solid experience in the financial services industry in Compliance monitoring, Testing, Internal Audit or at a financial institutions regulator.

Experience in Capital Markets, fund management and data analytics.

Experience as Compliance Manager and/or related discipline i.e. Risk & Compliance.

Deep knowledge of compliance monitoring methodologies and/or audit experience.

Knowledge of FCA (and prevailing, relevant domestic and local) rules and regulations.

Higher level qualifications such as Bachelor's Degree or Master's Degree (or equivalents) are desirable. CISI or ICA qualifications are desirable.

RBC offers a comprehensive Total Rewards package including competitive base pay, performance bonuses, and flexible benefits like health and dental coverage. Employees also benefit from a defined contribution pension plan, stock ownership programs, wellness resources, and tuition reimbursement.

If capacity allows, there may be a requirement to discharge some Wealth Management compliance monitoring, albeit with a limited scope.