Job Description What is the opportunity? As Compliance Analyst, you are accountable for the administration of RBC Enterprise personal trading policy internal control framework with respect to information barriers, personal trading and conflicts of interest. You will conduct monitoring and testing as assigned, identify potential conflicts of interest and escalate to management as required. You will also develop and maintain strong working relationships with business management in order to adequately support the business. Ensure that an organization's operations and procedures meet government and industry compliance standards. Applies complete knowledge, skills, and practices to perform assignments. What will you do? Administer the Capital Markets and Enterprise Personal Trading Policy, by ensuring that employees newly identified as being subject to the program are (a) correctly categorized (eg. subject to RBC windows, other trading restrictions, required to pre-clear, required to bring personal and related person accounts to approved dealer), and (b) apprised of and perform their responsibilities under the policy. This includes collecting the Employee Disclosure Forms when employees are made subject to the policy and the annual refreshment Administer the policy and make recommendations to Control Room management regarding conflicts of interest arising from personal trading, outside business activities and private investments and ensure that appropriate records are maintained Serve as main point of contact for Capital Markets monitored employees regarding personal trading inquiries and policy interpretation. Facilitate trade preclearance requests in accordance with internal policies and regulatory requirements Distribute Employee Disclosure Form to RBC and RBCCM new hires/transfers; act as employee facilitator; respond to queries; follow-up with non-respondents; and escalate to management or department heads as necessary Assist with daily surveillance activities related to personal trading as applicable under Control Room policies and procedure Support assessment to determine appropriate monitoring status and compliance requirements for employees Collaborate with the broader compliance team to maintain accurate records and ensure alignment with firm policies Recommend process and design enhancements within responsibilities, including leveraging new technology whenever possible Assist with the maintenance of MyComplianceOffice (MCO) data on employee profiles What do you need to succeed? Must have 2+ years of experience in the financial services industry Demonstrated knowledge of applicable regulatory and internal policy requirements, and all others as applicable Ability to work and flourish in a fast-paced environment University degree or equivalent education Ability to work independently, managing various high priorities University degree or equivalent education Nice to have Securities industry related courses and qualifications are a key asset 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. Ability to make a difference and lasting impact Work in a dynamic, collaborative, progressive, and high-performing team Opportunities to take on progressively greater responsibilities Job Skills Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking 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: 2025-07-31 Application Deadline: 2025-08-16 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. Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com. Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 84,000+ employees who bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada’s biggest bank, and one of the largest in the world based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to more than 16 million clients in Canada, the U.S. and 34 other countries. Learn more at rbc.com.? We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at rbc.com/community-social-impact.
