Compliance Manager, RBC Brewin Dolphin

Job Summary

Job Description

What is the opportunity?

• To add value to the RBC Brewin Dolphin platform by providing advice and guidance on compliance related matters; participating in business projects, marketing initiatives, and providing proactive solutions from a Compliance and Regulatory Risk standpoint.
• To advise the business in its management and mitigation of regulatory and reputation risk resulting from non-compliance with applicable regulatory standards.

What will you do?

Contribute to the functioning of RBC Brewin Dolphin compliance programmes, including:

• Support the activities of the RBC Brewin Dolphin Compliance Advisory team and champion the embedding of a compliance awareness culture throughout the business by proactively engaging with stakeholders at all levels of seniority.
• Deliver compliance induction training, ad-hoc face-to-face compliance engagement and training, compliance scenario-based training and branch visits (as required).
• Carry out appropriate regulatory analysis to provide considered compliance advice and challenge to stakeholders on a timely basis for ongoing business as usual (BAU) activities. This includes support to areas of the Investment Management and Financial Planning business and primary responsibility for covering Dealing (Best Execution & Transaction Reporting), Conflicts of Interest, Market Abuse Regulation (MAR), Regulatory Change & Lessons Learned and Compliance led investigations.
• Provide guidance and assistance to stakeholders in relation to adherence to Compliance owned policies. Facilitate resolving any compliance related issues and BAU queries pertaining to Dealing activities, Conflicts of Interest, MAR and Regulatory Change. Provide compliance review for approving Marketing Communications and Financial Promotions.
• Support the Line Manager in reviewing relevant policies and procedures owned by the Compliance Advisory Team to ensure these are compliant with regulations.
• Maintain and proactively support continuous improvements of Compliance processes and controls, including reviewing policies, collating management information and reviewing FCA communications as they relate to Dealing activities, Conflicts of Interest, MAR and Regulatory Change.
• Provide guidance to stakeholders on relevant new legislation and regulations applicable to RBC WME business activities.
• Providing support in order to maintain the accuracy of the Regulatory Compliance Management system and participation in the compliance risk assessment.

What do you need to succeed?

Must-have

• Experience in financial service industry and good understanding of the Wealth Management industry, business activities and best practices.
• Ability to apply the FCA Handbook rules impacting the Wealth Management sector.
• Solid experience in Regulatory or Compliance role, preferably with experience in Dealing regulations such as Best Execution and Transaction Reporting, Conflicts of Interest, MAR.
• Ability to independently take forward initiatives while collaborating, sharing information and being an effective team player.
• Ability to maintain an open relationship with stakeholders on all levels.
• Excellent influencing skills and strong ability to communicate effectively with stakeholders, providing direction and challenge where required.
• Nice-to-have
• Some experience managing others in a regulatory role in financial services.

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, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

12 SMITHFIELD STREET:LONDON

City:

London

Country:

United Kingdom

Work hours/week:

35

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-10-16

Application Deadline:

2024-12-25
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.

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