Royal Bank of Canada

Associate Director, Deal Management, Control Room (Compliance)

Royal Bank of Canada$110K — $130K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • University degree in business, finance, economics, or related field
  • 5+ years of progressive Compliance or related experience
  • Experience managing compliance information barriers program
  • Relevant work experience within a broker dealer, ideally in Capital Markets
  • Knowledge and experience with Capital Markets products and services

Responsibilities

  • Manage relationships and update deal status in investment and corporate banking
  • Ensure quality assurance on deal management programs
  • Analyze escalated communications for policy adherence
  • Manage global investment banking conflict identification procedures
  • Review and approve research reports to identify breaches of information barriers
  • Conduct conflict monitoring and trading surveillance activities
  • Collaborate with regional Compliance teams to implement policies

Benefits

  • Comprehensive Total Rewards Program including bonuses and flexible benefits
  • Supportive leaders focused on your development
  • Opportunity to make a lasting impact
  • Work within an agile, collaborative, and high-performing team
Full Job Description
Job Description

What is the opportunity?

As Associate Director, you will be a key Relationship Manager and Compliance advisor for all private-side business units within RBC Capital Markets (Canada) and escalation of conflicts arising from Global Research. As well, you will assist with conflict identification process for the global Corporate and Investment Banking businesses.

What will you do?
  • Relationship management and deal status update on Investment Banking, Corporate Banking, Debt Capital Markets, and Equity Capital Markets mandates
  • Quality assurance on all aspects of deal management program (M&T, deal addition and updates, watch and restricted List management etc.)
  • Analyze escalated communications, determining if employees are adhering to policies and regulations, and reporting to Management accordingly
  • Management of the Global Investment Banking Conflict Identification procedures that are designed to address potential issues arising from the firm making commitments to one or more clients on mandates that might result in a real or perceived conflict between clients, the RBC Group or its employees
  • Review and approve or escalate research reports to identify breaches of internal information barriers and / or inappropriate dissemination of inside or confidential information
  • Conflict monitoring, testing and associated activities for trading and communications surveillance conducted by the Canadian Control Room
  • Collaborating with regional Compliance colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers.


What do you need to succeed?

Must-have:
  • University degree in business, finance, economics or other related discipline combined with +5 years of progressive Compliance or related experience.
  • Experience managing compliance information barriers program
  • Relevant work experience within a broker dealer, ideally Capital Markets (front, mid, back office)
  • Knowledge and experience with Capital Markets products and services.


Nice-to-have:
  • Securities industry related courses and qualifications
  • Completion of the Canadian Securities Course and Conduct and Practices Handbook Exams.


What's in it for you?

  • A comprehensive Total Rewards Program including bonuses and flexible benefits
  • 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


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:

2026-09-10

Application Deadline:

2026-09-24
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

About Royal Bank of Canada

Royal Bank of Canada Careers

Join the dynamic team at Royal Bank of Canada (RBC), a global leader in financial services and a company committed to excellence and innovation. At RBC, we offer a wide range of job opportunities that empower professionals to shape their career paths with leadership, diversity training, and continuous growth.

Work You’ll Do

At Royal Bank of Canada, we are not just hiring; we are building a culture of innovation and leadership. Our team members are at the forefront of the financial industry, driving transformation and delivering targeted solutions that meet the evolving needs of our clients and communities.

Explore Job Opportunities and Employment at RBC

Whether you are starting your career or looking to take it to the next level, RBC offers positions that challenge your skills and fuel your ambition. From entry-level positions to leadership roles, our job opportunities span across various functions and regions. Join us and be part of a team that values professional growth and diversity.

Internship and Professional Development

Kickstart your career with an internship at Royal Bank of Canada. Our internships provide invaluable hands-on experience, networking opportunities, and insights into the financial services industry. Interns at RBC gain the skills necessary to excel and are often considered for full-time positions within the company.

Benefits and Culture

At RBC, we prioritize the well-being and satisfaction of our employees. Our benefits package is designed to support our team members at every stage of their life and career. RBC’s culture is built on a foundation of respect, integrity, and responsibility, fostering an environment where everyone can thrive.

Career Growth and Innovation

We believe in nurturing the potential of our employees through continuous learning and career development programs. At RBC, you will find endless opportunities to grow professionally through on-the-job experiences, formal training programs, and leadership development initiatives. Our commitment to innovation means we are constantly seeking out new ideas and perspectives, making RBC a perfect place for those who aim to lead and innovate.

Diversity and Inclusion

Diversity is our strength. At Royal Bank of Canada, we are committed to building an inclusive workplace where every employee feels valued and respected. Our diversity training programs are designed to educate and inspire, creating a more inclusive and equitable workplace.

Join Our Team

Search open positions that match your skills and interests. We look for passionate, curious, creative, and solution-driven team players. Start your journey with RBC today and be part of a world-class team known for its commitment to client service, community involvement, and innovation.

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Learn more about Royal Bank of Canada
Size
86,007 employees
Market Cap
$130.3 billion
Industry
5 Year Trend
+8.7%
NASDAQ

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