17 Oct
Royal Bank of Canada
London
Job description
Job Summary
Job Description
What is the opportunity?
To manage the RBC Brewin Dolphin Investment Compliance Advisory team to provide advice to the Business across all new existing products and services (Investment Management and Financial Planning), considering key regulatory requirements including Consumer Duty, Fair Value Assessments and PROD requirements and promote a strong compliance culture.
What will you do?
- Provide leadership and strategy for the Investment Compliance Advisory team including setting of development goals and annual objectives.
- Provision of practical guidance to RBC Brewin Dolphin’s Client Facing Team covering Investment Management and Financial Planning Products and Services on the proper interpretation and application of regulatory requirements, industry codes of practice and internal policies and procedures.
- Detailed analysis, interpretation and practical application of new regulatory requirements that impact RBC Brewin Dolphin’s Investment Management, Financial Planning and Advice activities.
- Liaison with relevant stakeholders with respect to the implementation of regulatory requirements relevant to RBC Brewin Dolphins Investment Management and Financial Planning activities.
- Advising on important business projects and business change, including product / service development, fees / costs changes, and distribution changes.
- Maintaining and updating the relevant Compliance policies and procedures manual to reflect the changing business and regulations.
- Ongoing support to maintain the accuracy of the Regulatory Compliance Management system (RCM) for the business areas covered and participating in the compliance risk assessments.
- Representing Compliance in relation to fund, product and service launches, including new product and service development.
- Representing Compliance in relation to product and service reviews including Fair Value Assessments, providing advice and challenge to help ensure that these meet all regulatory requirements and industry standards.
- Primary Compliance SME for Consumer Duty including but not limited to the review and challenge of relevant MI and Data.
What do you need to succeed?
Must-have
- Extensive experience in Wealth Management Compliance preferably with a focus on investment compliance.
- Some experience managing others in a regulatory role in financial services.
- Knowledge and experience in the UK / EU regulatory environment, FCA rules,
Consumer Duty pertaining to Wealth Management Firms and best practice.
- Strong interpersonal skills and professional approach to work.
- Enthusiasm and drive in developing compliance advisory skill set and gaining an understanding of the RBC BD businesses.
- Ability to grasp new ideas and concepts quickly and use them effectively. Strong planning, organisational skills and attention to detail.
- Ability to work under pressure and meet tight deadlines, consistently delivering within agreed deadlines.
- Focus on personal and professional development.
Nice-to-have
Experience of ESG Requirements and Standards
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 additio nal details.
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
Address :
12 SMITHFIELD STREET : LONDON
City : London
London
Country : United Kingdom
United Kingdom
Work hours / week : Employment Type :
Employment Type : Full time
Full time
Platform : LAW AND COMPLIANCE
LAW AND COMPLIANCE
Job Type : Regular
Regular
Pay Type :
Salaried
Salaried
Posted Date : 2024-10-16
2024-10-16
Application Deadline :
2024-10-26
I nclusion 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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▶️ Head of Investment Compliance Advisory, RBC Brewin Dolphin
🖊️ Royal Bank of Canada
📍 London