Associate Director, Digital Investments Compliance

Job Description

RBC Direct Investing Inc. and RBC InvestEase Inc. are dynamic, digital‑first investment firms subject to securities regulations and legislation. In this role, you will provide compliance advice to enable business objectives and conduct oversight to help ensure the firms’ compliance with regulatory obligations. As Associate Director, Digital Investments Compliance, your responsibilities will include regulatory change management, policy development, training, reporting, and advisory support in respect of business initiatives.

What Will You Do?

• Manage securities regulatory compliance oversight by identifying, managing, and monitoring securities regulatory risks associated with order execution and robo‑advisory businesses.
• Provide compliance advisory services to RBCDI and RBCIE head office, senior management, and front‑line staff.
• Conduct compliance risk assessments relating to regulatory change or business initiat...