WHAT IS THE OPPORTUNITY?

You'll be the trusted regulatory authority for Fixed Income, Currencies and Commodities (FICC) across RBC Capital Markets—both as a strategic advisor and as the leader of a small, specialized compliance team. You'll advise our sales, trading, and business teams on complex regulatory matters while building and mentoring a high-performing team that shares your commitment to excellence. You'll work closely with senior leadership, regulators, and industry peers to shape how RBC approaches evolving FICC rules and standards. This is a high-impact role for someone who thrives at the intersection of regulation, strategy, and business operations—and who enjoys developing talent.

WHAT WILL YOU DO?

Regulatory Advisory & Guidance

• Serve as the subject matter expert on Canadian and global FICC regulations, including CIRO Dealer Member Rules, FX Code, Montreal Exchange rules, and FMSB standards

• Provide timely, expert compliance advice to sales, trading, and other business segments on business conduct, market conduct, and transactional matters

• Interpret complex regulatory frameworks and translate them into actionable guidance for business stakeholders at all levels

• Mentor your team to handle routine matters independently while escalating complex issues appropriately

Strategic Compliance Leadership

• Lead special projects and regulatory change initiatives assigned by the Head of Macro Compliance Advisory or Chief Compliance Officer

• Drive organizational readiness for evolving compliance requirements, develop implementation roadmaps, and ensure timely adoption across the business unit

• Demonstrate measurable impact on compliance effectiveness and regulatory standing

• Balance hands-on involvement in key initiatives with delegation to your team members to build their capabilities

Team Leadership & Development

• Lead a small, focused compliance team

• Set clear expectations, provide coaching and mentorship, and create opportunities for your team to develop regulatory expertise and advance their careers

• Foster a collaborative environment where team members feel supported and invested in their growth, distribute work thoughtfully to challenge your team while maintaining advisory coverage across the business

Policy Development & Risk Management

• Develop and enhance policies and procedures that support the compliance program

• Identify potential compliance vulnerabilities, assess associated risks, and develop corrective action plans

• Provide forward-looking guidance to prevent issues before they escalate

• Respond to alleged violations by evaluating concerns and recommending or initiating investigative procedures as appropriate

• Ensure your team understands and can apply these policies consistently

Regulatory & Industry Relationships

• Act as a key liaison with CIRO and other regulatory bodies, managing inquiries, audits, and regulatory interactions with transparency and professionalism

• Actively participate in industry working groups and internal cross-functional initiatives where your expertise adds value

• Build and maintain collaborative relationships with internal teams, regulators, and external stakeholders

• Represent RBC's compliance posture with credibility and confidence

Compliance Monitoring & Oversight

• Monitor compliance and ethics initiatives within the business unit, providing proactive guidance to management on compliance-related matters

• Support general Capital Markets and RBC enterprise compliance policy implementation across your area of responsibility

• Work with your team to identify trends, escalate emerging risks, and refine monitoring protocols

WHAT DO YOU NEED TO SUCCEED?

Must have:

• Bachelor's degree in law, finance, business administration, or a related field

• Minimum of 10 years of progressive experience in compliance, supervision, or front-office roles within Capital Markets, with substantial focus on FICC products including Repo

• In-depth knowledge of Canadian FICC regulations and demonstrated ability to interpret and apply complex regulatory frameworks in a real-world business context

• Proven success managing or leading a team, even in an informal capacity

• Proven track record of successfully leading projects, driving change initiatives, and building effective teams

• Excellent written and verbal communication skills—you can articulate complex regulatory concepts to senior executives and business teams with clarity and confidence

• Strong interpersonal skills and a demonstrated ability to build trust, collaborate across functions, and develop others

• Comfort balancing strategic thinking with hands-on involvement in day-to-day advisory work with the ability to thrive in a fast paced, dynamic environment.

• Combine technical rigor with business acumen—you understand not just what rules require, but why they matter to how we operate

Nice to have:

• Advanced degrees (JD, MBA) or professional certifications (CFA)

• Familiarity with compliance monitoring tools, MTRS reporting requirements, and relevant trading technology platforms

• Prior experience in a dual role combining individual contribution with people leadership

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 and flexible benefits, competitive compensation, commissions, and stock where applicable

• Leaders who support your development through coaching and managing opportunities

• 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 work/life balance options

• Opportunities to do challenging work

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

ROYAL BANK PLAZA, 200 BAY ST:TORONTOTorontoCanada37.5Full timeCHIEF LEGAL & ADMIN OFFICE GRPRegularSalaried2026-02-262026-03-27

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.

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.