Associate - Compliance Testing

What is the opportunity?

As an integral member of the UK Compliance Testing team, the Compliance Testing Associate helps support local Chief Compliance Officers (CCOs) in fulfilling their responsibilities defined under the RBC Regulatory Compliance Management Framework.

What will you do?

• Assessing the adequacy of, adherence to and the effectiveness of the day-to-day controls to manage regulatory compliance risk; and
• Providing an opinion to senior for a on the effectiveness of the Regulatory Compliance Management (RCM) controls in achieving compliance with the applicable regulatory requirements.
• Assist in the completion of effective risk assessments to drive the UK (European for Capital Markets) Compliance Testing Plan; 
• Contribute towards the continual enhancement of the testing approach and annual Testing program (including providing ideas for developing/improving the approach to continuous business testing and, where relevant, enhancing the existing Enterprise Monitoring and Testing control standards); 
• Assist in the delivery of timely responses to internal audit and external regulatory enquiries; and 
• Support ad-hoc projects and activities as required (methodology improvements; stakeholder management; committee reporting).

What do you need to succeed?

Must-have

• Bachelor’s degree (or equivalent)
• Experience in Regulatory Compliance 
• Experience within Financial Services (Capital Markets / Wealth Management / Asset Management)
• Analytical skills 

Nice-to-have

•    Qualifications in auditing, monitoring or risk.
•    Use of Data Analytics / AI

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.

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

100 BISHOPSGATE:LONDON

London

United Kingdom

35

Full time

CHIEF LEGAL & ADMIN OFFICE GRP

Regular

2024-12-18

2025-04-07

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.