What is the opportunity?

The Senior Compliance Lead, Global Businesses, Australia serves as a principal second-line compliance authority for RBC Australia's expanding business. The role requires a senior compliance professional to provide strategic oversight, regulatory guidance, and effective delegation support to the Head of Compliance, Australia. It will provide comprehensive compliance oversight across Capital Markets' Global Markets, with particular emphasis on electronic trading operations and emerging business initiatives including, Global Asset Management, and Global Wealth Management (collectively, Global Businesses).

What will you do?

• Lead comprehensive compliance oversight of all electronic trading operations, with specialised expertise in equities trading and extension to spread, macro products, and related derivatives as required.
• Responsible for Compliance coverage for newly introduced products across Wealth Management and Global Asset Management. This includes the initial assessment, compliance frameworks and oversight model to satisfy 2LOD regulatory compliance obligations.
• Collaborate with offshore compliance teams to establish cross jurisdictional compliance frameworks to support new initiatives implemented in Australia.
• Develop and maintain deep technical knowledge of regulatory obligations, trading infrastructure systems, and global regulatory frameworks applicable to electronic trading environments.
• Proactively enhance monitoring and testing frameworks in alignment with evolving business scope and regulatory expectations.
• Compliance coverage (including advisory and monitoring and testing services) for Macro and Spread, Equities, RSG, Securitisation and DCM Syndication and provide assisted coverage on Capital Markets (ECM & DCM).
• Responsible for the timely performance of the compliance requirements contained in law (including The Corporations Act (Cth)), ASIC Market Integrity Rules and ASX and Cboe Operating Rules, and accepted market practice for all jurisdictions in which RBC Global Markets Australia activities extend.
• Pro-actively collaborate with employees of the Global Markets business in relation to various legal and regulatory matters.
• Responsible for the regulatory change process across Global Businesses including keeping up to date with all legal and regulatory changes from APRA, ASIC, ACCC, ASX and Cboe, and advise the business where appropriate and provide oversight to sure changes are effectively addressed.
• Responsible for maintenance of the Regulatory Compliance Management program for Global Markets, to include maintaining and challenged 1LOD for all Risk Assessments, conducting Trigger Assessments where regulatory change deems appropriate, recording Incidents and tracking/coordinating remediation projects.
• Support the Head of Compliance to assist with regulatory enquiries, including liaising with internal and outside counsel as necessary and respond to regulators on information requests, reviews, reported matters and investigations.

What do you need to succeed?

Must-have

• Degree or equivalent is required, preferably with a specialisation in a related financial or legal field.
• Minimum 10- 12 years of progressive, relevant compliance experience in the specified business areas, ideally gained within the Australian financial market.
• Demonstrated expertise and hands-on experience in electronic trading compliance, including comprehensive knowledge of trading systems, market data infrastructure, and electronic trading regulatory frameworks.
• Advanced knowledge and experience in financial markets products and services. With additional experience in Asset Management and Global Asset Management, preferred.
• Strong understanding of ASIC Market Integrity Rules and ASX and Chi-X Operating Rules.
• An understand of wealth and asset management products, with the ability to interpret and apply legislative requirements and determine regulatory applicability.
• Exceptional written and verbal communication skills with demonstrated ability to influence senior stakeholders and articulate complex regulatory concepts.
• Excellent analytical capabilities and meticulous attention to detail in compliance assessment and documentation.
• Proven track record of building and sustaining productive relationships with senior management and regulatory bodies.
• Excel as a people management and demonstrable experience in building coherent and efficient teams.

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.

• 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

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 additional 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

25 MARTIN PLACE:SYDNEYSydneyAustralia38Full timeCHIEF LEGAL & ADMIN OFFICE GRPRegularSalaried2026-03-252026-04-24

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

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.