Job Summary

Job Description

What is the opportunity?

You will be supporting the RBC Brewin Dolphin Compliance Advisory team to provide advice to the Business across all new and existing products and services (Funds, Investment Management and Financial Planning), considering key regulatory requirements including COBS, PROD and Consumer Duty, and providing proactive solutions for business and regulatory change related projects from a Compliance and Regulatory Risk standpoint.

What will you do?

Support the activities of the Compliance Advisory team and champion the embedding of a compliance awareness culture throughout the business by proactively engaging with stakeholders at all levels of seniority.Provision of practical guidance to RBC Brewin Dolphin’s Client Facing Team covering Funds, Investment Management and Financial Planning products and services on the interpretation and application of regulatory requirements, industry codes of practice and internal policies and procedures.Detailed analysis, interpretation and practical application of new regulatory requirements that impact RBC Brewin Dolphin’s Investment and Advice related activities.Liaison with relevant stakeholders with respect to the implementation of regulatory requirements relevant to RBC Brewin Dolphin’s Investment and Advice related activities.Advising on and participating in important business projects and business change, including product / service developments, fees / costs changes, product / service reviews (including fair value assessments) and distribution changes.Maintaining and updating the relevant Compliance policies and procedures manual to reflect the changing business and regulations and maintaining the the accuracy of the Regulatory Compliance Management system (RCM) for the business areas covered, and participating in the compliance risk assessments.Representing Compliance in relation to fund, product and service launches, including new product and service development.Attend and actively participate in Forums/Committees deputising for the Line Manager as appropriate, including the review and challenge of associated MI.

What do you need to succeed?

Must-have

Extensive experience in financial services industry and good understanding of retail products and services.Knowledge and experience in the UK/EU regulatory environment, FCA rules, Consumer duty pertaining to Wealth Management Firms and best practice.Enthusiasm and drive in developing compliance advisory skill set and gaining an understanding of the RBC BD businesses. Ability to work under pressure and meet tight deadlines.Excellent influencing skills and strong ability to communicate effectively with stakeholders at all levels, providing direction and challenge where required.Ability to grasp new ideas and concepts quickly and use them effectively. Strong planning, organisational skills and attention to detail.Focus on personal and professional development.

Nice-to-have

Experience of ESG Requirements and StandardsExperience in managing others in a regulatory role in financial services.

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 compensationLeaders who support your development through coaching and managing opportunitiesOpportunities to work with the best in the fieldAbility to make a difference and lasting impactWork in a dynamic, collaborative, progressive, and high-performing teamA world-class training program in financial servicesFlexible working options fully supported.

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

Address:

12 SMITHFIELD STREET:LONDON

City:

London

Country:

United Kingdom

Work hours/week:

35

Employment Type:

Full time

Platform:

WEALTH MANAGEMENT

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-02-04

Application Deadline:

2025-02-18

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 embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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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.