Associate Director - Capital Markets Compliance Advisory

What is the opportunity?

We are seeking a dynamic and experienced Associate Director, Regulatory Compliance – Listed Derivatives, Montreal Exchange to join our team. In this critical role, you will provide expert regulatory advice and compliance support for sales and trading activities on the Montreal Exchange (MX). You will play a key role in ensuring adherence to applicable regulatory requirements and enhancing RBC’s commitment to compliance excellence and operational integrity.

What will you do?

• Regulatory Advisory Expertise: serve as a trusted advisor on regulatory requirements related to the Montreal Exchange, including but not limited to market conduct, trading rules, and position limits, providing expert compliance support to sales and trading teams and other business segments as needed.
• Leadership in Special Projects: lead and execute special projects as assigned by the reporting manager or Chief Compliance Officer (CCO), driving strategic initiatives to enhance compliance practices.
• Regulatory Change Management: monitor and implement regulatory changes affecting MX trading activities, ensuring the business is prepared for and compliant with evolving requirements.
• Policy Development and Enhancement: develop, initiate, and revise policies and procedures to support compliant trading operations on the Montreal Exchange, ensuring alignment with regulatory expectations.
• Compliance Monitoring and Guidance: monitor compliance and ethics initiatives within the business unit, providing proactive guidance and strategic advice to the management team and business partners on compliance-related matters.
• Risk Identification and Mitigation: identify potential compliance risks related to MX trading activities, develop corrective action plans, and provide forward-looking guidance to mitigate future risks. 
• Regulatory and Industry Engagement: act as a key liaison with the Montreal Exchange and other regulatory bodies, managing inquiries, audits, and other interactions to ensure transparency and compliance. Actively participate in industry and internal working groups where appropriate.
• Regulatory Compliance Management (RCM): oversight of the Capital Markets MX RCM program in collaboration with first line of defense partners.
• Investigation Oversight: respond to alleged violations of rules, regulations, policies, and procedures by evaluating concerns and recommending or initiating investigative procedures.
• General Compliance: provide guidance and advice on general Capital Markets and RBC enterprise compliance policies. 

What do you need to succeed?

• Educational Background: Bachelor’s degree in Law, Finance, Business Administration, or a related field; advanced degrees (e.g., JD, MBA) or relevant professional certifications (e.g., CFA) are considered an asset. Completion of Derivatives (Futures and Options) licensing courses preferred.
• Industry Experience: Minimum of 7-10 years of experience in compliance, legal, or regulatory roles within Capital Markets.
• Regulatory Expertise: In-depth knowledge of Montreal Exchange rules and related trading regulations, including market conduct, off-exchange trading procedures, client and order identification, and position limit reporting requirements. Proven ability to interpret and apply complex regulatory frameworks.
• Communication Skills: Excellent written and verbal communication skills, with the ability to articulate complex regulatory concepts to senior management and business stakeholders.
• Attention to Detail: High level of accuracy and attention to detail in assessing compliance risks and monitoring regulatory adherence.
• Relationship Management: Strong interpersonal skills to build collaborative relationships with internal teams, regulators, and external stakeholders.
• Adaptability: Ability to thrive in a fast-paced, dynamic environment and manage multiple priorities effectively.
• Technical Proficiency: Familiarity with compliance monitoring tools, trade reporting systems, and relevant technology platforms is an asset.

What’s 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 and flexible benefits and competitive compensation
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to do challenging work

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

RBC CENTRE, 155 WELLINGTON ST W:TORONTOTorontoCanada37.5Full timeCHIEF LEGAL & ADMIN OFFICE GRPRegularSalaried2026-01-152026-02-20

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

Inclusion 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.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.