Associate Director, Securities Aggregation Compliance

Job Description

What is your opportunity?

In your role as the Associate Director, Securities Aggregation Compliance, you will be responsible for the overall execution of the Global Securities Aggregation compliance program within RBC and will be reporting to the Managing Director, Compliance. The program focuses on Compliance’s 2nd Line of Defence advice, oversight and challenge activities in supporting all RBC businesses globally. The major areas of focus include execution of all Regulatory Compliance Management (RCM) Aggregation program elements, while providing secondary coverage for the Finance and Operational compliance program for RBC’s Capital Markets, Wealth Management and Direct Investing business lines, with responsibility for assessing compliance with the Canadian Investment Regulatory Organization (CIRO) rule book, among other regulations.

What will you do?

• Act as the main compliance contact and subject matter expert (SME) for all Global Securities Aggregation activity, including coverage of all relevant securities laws, rules and regulatory requirements relating to securities aggregation.
• Specific areas of focus include i) functional understanding of the global securities aggregation system ii) business activity/trade flows and the corresponding securities aggregation impact, iii) co-ordination of the completion of an annual global securities aggregation survey, iv) review of proposed new business activity to determine any securities aggregation impact(s), and v) general advice and guidance on compliance with internal policy and external regulatory securities aggregation requirements.
• Oversight of RCM program elements such as regulatory change, issues management, policy ownership, monitoring and general oversight and challenge.
• Maintain working relationships with the appropriate business partners, functional support teams (including RBC law) and operational teams directly responsible for the Global Securities Aggregation System (GSAS).
• Development and maintenance of the Governance framework for the overall program, which includes the regular reporting and monitoring of management information relating to securities aggregation activity.
• Act as backup for the FinOps Canada Compliance lead, providing advice, oversight and challenge on all aspects of the program, including management of the FORC (Finance, Operations and Risk Committee) meeting.

What do you need to succeed?

• 10+ years of experience in the Securities and/or Finance industry specifically related to Finance and Operations, Capital Markets and Wealth Management with a strong understanding of the daily functions of an OSFI E-13 RCM program
• Proven hands-on experience managing/overseeing compliance programs within a Financial Institution, Regulator, Law Firm, and/or other financial service entity
• Direct experience with shareholder reporting/disclosure rules and strong knowledge of securities laws pertaining to shareholder reporting and early warning/takeover bid regulatory requirements.
• In-depth knowledge of the Canadian Securities regulatory environment
• Strong initiative, along with the ability to organize and prioritize regulatory expectations, while delivering quantifiable value to covered business lines.

Nice to Have:

• Juris Doctor, and/or other Professional Law Designation(s)

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
• Opportunities to do challenging work

Job Skills

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF legal & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-10-16

Application Deadline:

2025-11-15

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.

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