Associate Director, Fixed Income Compliance Advisory

WHAT IS THE OPPORTUNITY?

You'll be a key regulatory advisor for fixed income compliance across RBC Capital Markets Canada. Working as a valued member of a high-performing compliance team, you'll advise our sales, trading, and business teams on complex regulatory matters while supporting the Director and broader compliance function. You'll collaborate with senior leadership, regulators, and industry peers to help RBC maintain strong fixed income compliance practices. This is an impactful role for someone who combines deep regulatory expertise with strong business judgment and a commitment to operational excellence.

WHAT WILL YOU DO?

Regulatory Advisory & Guidance

• Serve as a subject matter expert on Canadian fixed income regulations and industry best practices, including CIRO Dealer Member Rules and FMSB standards

• Provide timely, expert compliance advice to sales, trading, and other business segments on business conduct, market conduct, and transactional matters

• Interpret complex regulatory frameworks and translate them into actionable guidance for business stakeholders at all levels

• Handle routine matters independently while escalating complex issues to the Director and Head of Macro Compliance Advisory as appropriate

Strategic Compliance Support

• Contribute to special projects and regulatory change initiatives led by the Director or MD of FICC Compliance Advisory

• Support organizational readiness for evolving compliance requirements, assist in developing implementation roadmaps, and help drive adoption across the business unit

• Demonstrate measurable impact on compliance effectiveness and regulatory standing through quality advisory work and proactive risk identification

Policy Development & Risk Management

• Contribute to the development and enhancement of policies, procedures, and training that support the compliance program

• Identify potential compliance vulnerabilities, assess associated risks, and recommend corrective action plans

• Provide forward-looking guidance to prevent issues before they escalate

• Help ensure consistent application of policies across advisory coverage areas

Regulatory & Industry Relationships

• Support key liaison activities with CIRO and other regulatory bodies, assisting with inquiries, audits, and regulatory interactions

• Actively participate in industry working groups and internal cross-functional initiatives where your expertise adds value

• Build and maintain collaborative relationships with internal teams, regulators, and external stakeholders

• Represent RBC's compliance posture with credibility and professionalism

Compliance Monitoring & Oversight

• Monitor compliance and ethics initiatives within assigned areas of the business unit, providing proactive guidance to management on compliance-related matters

• Support general Capital Markets and RBC enterprise compliance policy implementation across your area of responsibility

• Review instances of non-compliance with internal policies and regulatory requirements, and support corrective actions, including employee breaches

• Support internal and external investigations under Director oversight

• Identify trends, escalate emerging risks, and contribute to refinement of monitoring protocols

WHAT DO YOU NEED TO SUCCEED?

Must have:

• Bachelor's degree in law, finance, business administration, or a related field

• Minimum of 7–9 years of progressive experience in compliance, supervision, or front-office roles within Capital Markets, with substantial focus on fixed income products

• In-depth knowledge of Canadian fixed income regulations and demonstrated ability to interpret and apply complex regulatory frameworks in a real-world business context

• Strong track record of independent advisory work and cross-functional collaboration

• Excellent written and verbal communication skills—you can articulate complex regulatory concepts to senior executives and business teams with clarity and confidence

• Strong interpersonal skills and a demonstrated ability to build trust, collaborate across functions, and contribute to team effectiveness

• Proven ability to manage competing priorities and drive initiatives to completion with minimal oversight

Nice-to-have: 

• Advanced degrees (JD, MBA) or professional certifications (CFA)

• Familiarity with compliance monitoring tools and relevant trading technology platforms

• Prior experience advising on regulatory strategy and change management initiatives

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

Compliance Monitoring, Compliance Programs, Compliance Reporting, Critical Thinking, Data Gathering Analysis, Decision Making, Electronic Trading, Financial Regulation, Industry Knowledge, Market Knowledge, Personal Initiative, Product Services, Regulatory Issues, Risk Compliance (Inactive), Teamwork

Additional Job Details

RBC CENTRE, 155 WELLINGTON ST W:TORONTOTorontoCanada37.5Full timeCHIEF LEGAL & ADMIN OFFICE GRPRegularSalaried2026-04-142026-06-05

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.