Associate Director - Compliance Advisory-Swap Dealer

Royal Bank of Canada

  • New York City, NY
  • $110,000-190,000 per year
  • Permanent
  • Full-time
  • 8 days ago
Job DescriptionWhat is the Opportunity?This role provides proactive and direct support to Dodd-Frank and OTC Derivatives impacted businesses on a global basis to ensure compliance with rules and regulations.What will you do?Assist in Compliance coverage of activities of the RBC Swap Dealer and Security-Based Swap Dealer (including, but not limited to, registration, training, development and maintenance of policies/procedures, and controls.).Provide regulatory advice in relation to Dodd-Frank (CFTC and SEC) and its impact globally.Work with Legal and Outside Counsel to interpret the applicability of the Dodd-Frank to the bank’s various businesses on a cross-divisional basis.Assist with regulatory examinations and inquiries related to the Swap Dealer and Security-Based Swap Dealer.Review new product and business initiatives and analyze for Global OTC Derivative and Dodd-Frank impact, including areas of G20 Reform.Responsible for monitoring and analyzing new regulatory developments and implementing the applicable policies to mitigate potential risk.Draft and implement a system of enterprise-wide and desk-specific policies and procedures designed to ensure compliance with the Dodd-Frank.Identify areas where standards can be enhanced and assist in their effective implementation.Partner with Compliance colleagues globally to ensure a consistent approach to G20 Reform and Dodd-Frank interpretation.Create and manage action plans for the various Compliance deliverables associated with Dodd-Frank.Develop and deliver initial and recurring Dodd-Frank training to the Business and Functional Support Groups.Provide ongoing reporting to senior members of the Business and Functional Support Groups on the progress of implementing Dodd-Frank compliance.Participate in various work streams relating to the ongoing interpretation and implementation of Global OTC Derivatives related requirements.Create and update policies and procedures, as well as work on special projects and act as a project manager for new initiatives.Act as project manager for new initiatives.What do you need to succeed?
Must haveApproximately 5-7 years of relevant work experience within financial servicesBachelor’s degreePrior in Broker-Dealer, Capital Markets, and Dodd-Frank / Derivatives experienceExceptional communication and analytical thinking skillAbility to work in a fast-paced environment and problem solveNice to haveJD or other advanced degree (e.g., MBA)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 competitive compensation, bonuses, and flexible benefitsContinued opportunities for career advancementWorld-class sales training, coaching, and development opportunitiesSupport from a dynamic, collaborative, progressive, and high performing team, as well as world-class tools and trainingOpportunity to achieve great success and grow your career with RBCThe good-faith expected salary range for the above position is $110,000-$190,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:Drives RBC’s high performance cultureEnables collective achievement of our strategic goalsGenerates sustainable shareholder returns and above market shareholder value#LI-POSTJob Skills Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic ThinkingAdditional Job DetailsAddress: BROOKFIELD PLACE FKA 3 WORLD FINANCIAL CENTER, 200 VESEY STREET:NEW YORKCity: New YorkCountry: United States of AmericaWork hours/week: 40Employment Type: Full timePlatform: CHIEF LEGAL & ADMIN OFFICE GRPJob Type: RegularPay Type: SalariedPosted Date: 2025-08-26Application Deadline: 2025-09-29Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date aboveInclusion and Equal Opportunity EmploymentAt 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 CommunityStay 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 .

Royal Bank of Canada