Assistant Compliance Manager - 12 Month Ftc

What is the opportunity?

As a member of Employee Compliance, you will be required to:

• Work as part of the Team, providing advice and supporting RBC Brewin employees in respect of conflict management processes and tools and their employee compliance obligations. Provide Employee Compliance support to all other RBC segments as required;

• Support the delivery of Employee Compliance responsibilities on a timely and consistent basis and in accordance with agreed service levels o ; and

• Support the development of a strong and consistent compliance culture within RBC and provide support as required across all RBC platforms.

What will you do?

• Own, and be accountable for, your responsibilities and maintain a high standard of to work and professionalism.

• Support the ongoing operation of Employee Compliance through the monitoring and processing of core conflicts management activities, including: new joiner disclosures, personal account dealing (including private investment transactions), outside business activities, charitable donations and sponsorships, gifts and entertainment and Employee Compliance attestations.

• Undertake regulatory compliance returns on behalf of RBC platforms.

• Compilation and analysis of internal management information reporting, to identify material themes, trends or patterns.

• support the Client Categorisation process for Elective Professionals for Capital Markets Europe including providing effective challenge to the business in performing such assessments.

• Support the assessment and implementation of regulatory changes as they relate to Employee Compliance.

• Assist with the management and development of Employee Compliance Policies and Procedures and relevant aspects of the RBC Compliance intranet site.

• Maintain, and continually seek to enhance Employee Compliance processes to achieve greater efficiency and effectiveness.

• Work with other departments to improve process efficiency and the delivery of Employee Compliance responsibilities to respond to requests for information from Internal Audit and/or Compliance Testing in respect of core conflicts management activities for desk audits and Compliance reviews.

What do you need to succeed?

Must have:

• Experienced in making judgements from applying policies and processes to non-routine scenarios with imperfect information.

Nice to have:

• Preferably educated to at least final degree level, ideally in a subject that can support the role (e.g. finance, business, etc.) or equivalent.

• Previous experience preferable but not essential. Previous relevant

• experience may include working with: Employee conflicts management systems, processes and policies; and/or Conflict management focused rules and regulations (e.g. FCA COBS and/or SYSC).

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.

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

32 GALLOWGATE:NEWCASTLE UPON TYNENewcastle upon TyneUnited Kingdom35Full timeLaw and ComplianceContract (Fixed Term)Salaried2023-11-242024-01-25