Assistant Manager – Compliance

Job Summary Job Description What is the opportunity? Our Compliance team offers a dynamic work environment that promotes strong collaboration, reflecting our core value of diversity and inclusion. We are dedicated to maintaining a high-performance, solution-focused team that consistently delivers value to business. Step into a key role within our Compliance Department, where our primary goal is to uphold the highest standards of regulatory compliance and safeguard the integrity across our wealth management operations. Our team plays a critical role in ensuring that our business activities align with regulatory requirements, fostering a culture of compliance awareness throughout the organization, driving excellence through proactive monitoring and innovative practices. What will you do? Support the activities of the Compliance team and champion the embedding of a compliance awareness culture throughout the business. Assist in the development and maintenance of the Compliance Monitoring Plan (CMP), including continuous improvements, enhancements and efficiencies. Carry out 2LOD monitoring tasks as required by the CMP such as Suitability, Transaction Reporting, Complaints, Best Execution as well as other ad hoc work that may arise. Take accountability and ownership for specific areas of the CMP. Support the design, evaluation and assessment of new and existing compliance monitoring tasks. Assist in the maintenance and enhancement of policies and procedures as required. Escalate and report any concerns identified to the Head of Compliance Monitoring / Breach Forum where possible providing plans/recommendations to mitigate risks/issues/present remediation route. Support business and regulatory strategic projects as relevant to the role. Maintain clear & concise review files that consistently pass peer review check. Liaise with and provide assistance to other parts of Compliance in matters relevant to Compliance Monitoring which affect RBC’s business activities. Maintain knowledge on industry developments, regulatory changes, company policies and procedures as appropriate to effectively discharge the role. What do you need to succeed? Must-have Solid experience in the financial services industry. Knowledge of compliance monitoring methodologies and/or audit experience. Knowledge of FCA rules and regulations / COBS / Consumer Duty. Ability to grasp new ideas and concepts quickly and use them effectively. Self starter with ability to work under pressure and meet deadlines. Excellent communication and presentation skills. Excellent organizational skills. Excellent collaboration and team-building skills. Nice-to-have Higher level qualification / Degree (or equivalents). Experience as Compliance Associate and/or related discipline i.e. Risk & Compliance / Internal Audit or at a financial institutions regulator. CISI / CII / ICA qualification(s). 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. Agency Notice RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additional details. Job Skills Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking. Additional Job Details Address:

32 GALLOWGATE:NEWCASTLE UPON TYNE City:

Newcastle upon Tyne Country:

United Kingdom Work hours/week:

35 Employment Type:

Full time Platform:

WEALTH MANAGEMENT Job Type:

Regular Pay Type: Posted Date:

2025-01-27 Application Deadline:

2025-02-06 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 embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities. We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process. Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.

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