Associate Director, Digital Investments Compliance

WHAT IS THE OPPORTUNITY?

RBC Direct Investing Inc. and RBC InvestEase Inc. are dynamic, digital-first investment firms subject to securities regulations and legislation.  In this role, you will provide compliance advice to enable business objectives and conduct oversight to help ensure the firms’ compliance with regulatory obligations.  As Associate Director, Digital Investments Compliance, your responsibilities will include regulatory change management, policy development, training, reporting, and advisory support in respect of business initiatives.

WHAT WILL YOU DO?

• Manage securities regulatory compliance oversight for by identifying, managing, and monitoring securities regulatory risks associated with order execution only and robo-advisory businesses. 
• Provide compliance advisory services to RBCDI and RBCIE head office, senior management and front-line staff
• Conduct compliance risk assessments relating to regulatory change or business initiatives
• Lead and/or conduct compliance reviews and manage escalations relating to broad range of matters including: marketing, complaints, cybersecurity, fraud and other client matters, market surveillance, trading and client transaction escalations.
• Develop Compliance policies and procedures
• Develop and deliver training, as required, to business and other compliance teams
• Special, ad-hoc projects as assigned

WHAT DO YOU NEED TO SUCCEED?

 Must have:

• Demonstrated ability to analyze and assess risk versus regulatory framework and business objectives
• Excellent written and verbal communication skills,
• Strong organizational, prioritization and project management capabilities, with ability to work independently and within cross-platform project groups
• In-depth understanding of securities regulations, fintech and the financial services industry.
• Deadline-driven and results-oriented; able to meet consistently high quality standards while handling a variety of tasks and deadlines simultaneously.

Nice-to-have: 

• Canadian Securities Course and other industry courses
• Business French
• Expertise with MS Office tools, Tableau, Archer
• Passion for trading, investing, and use of emerging technologies

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, competitive compensation, commissions, and stock where applicable
• 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
• A world-class training program in financial services
• Flexible work/life balance options
• 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 GRPContract (Fixed Term)Salaried2026-04-242026-04-29

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

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.