Director, Fixed Income, Commodities & Currencies (FICC) Advisory Full-time Job

What is the opportunity?

The Director will head the Canadian FICC Advisory team and be responsible for providing leadership in the implementation and maintenance, within the context of RBC’s Enterprise Compliance Management Framework, of compliance programs and controls across the Global Markets business, within RBC’s Capital Markets (CM) businesses in Canada.  Product coverage includes FICC (fixed Income, listed/OTC derivatives, commodities, FX), I&TS execution desks in CM and Central Funding.

 

What will you do?

• Act as the Rates subject matter expert - providing transactional advice and guidance, as required
• Head up and Partner with the business to implement appropriate controls designed to detect and mitigate compliance and regulatory issues and to achieve effective management of the compliance program within the Global Markets business
• Manage the rule universe, control mapping (Tier 1,2) and trigger event analysis as part of OSFI E13 requirements for Regulatory Compliance Management
• Develop and maintain up-to-date policies and procedures and control processes to address the identified risks
• Together with the Director, Surveillance, ensure that RBC Dominion Securities has an effective monitoring program
• Schedule recurring and ad hoc meeting with Desk Heads and Business Heads to provide compliance updates and escalate risks and compliance issues, as required
• Prepare and deliver in-person training and guidance on emerging regulatory developments/issues
• Lead projects as assigned by the business, CM Compliance, Legal

 

What do you need to succeed?

Must-have 

• 7+ years of compliance experience in a financial institution, including a broker-dealer (ideally within a financial conglomerate) and/or Capital Markets, regulator and/or other comparable environment
• Proficient and expertise across FICC businesses
• Leadership experience and a proven track-record of success in managing a successful group
• Completion of the Canadian Securities Course and Conduct and Practices Handbook Exam
• Strong communication and presentation skills in a group setting
• A University degree (Finance, Economics, related)

 

Nice-to-have

• Deals with highly complex issues, projects and process
• Strong organizational skills
• Attend relevant industry events

 

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.

• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in an agile, collaborative, progressive, and high-performing team
• The opportunity to interface with senior level executives from many different parts of the organization

 

 

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Royal Bank of Canada (RBC; French: Banque Royale du Canada) is a Canadian multinational financial services company and the largest bank in Canada by market capitalization. The bank serves over 17 million clients and has more than 89,000 employees worldwide.