Senior Director & Chief Compliance Officer, RBC Global Asset Management Inc.

WHAT IS THE OPPORTUNITY?

The CCO, RBC Global Asset Management Inc. (“GAM”) has overall accountability for the GAM compliance framework including in respect of all the firm’s registration categories.  This role is accountable for developing and implementing a GAM compliance framework that is designed to provide reasonable assurance to senior management that the Canadian asset management business complies, in a cost-effective manner, with governing regulations in all applicable jurisdictions, and with internal policies and procedures.  Also accountable for implementation of RBC enterprise-wide compliance initiatives at the Business Segment Compliance level. Responsible for providing ongoing leadership, coaching and development of compliance staff ensuring a high level of commitment and capability.  The position reports into the VP, WM & Insurance Compliance Canada.

WHAT WILL YOU DO?

Compliance Framework & Oversight

Accountability for defining, developing, implementing and maintaining an effective compliance framework for GAM.

• Leads the Compliance team in Canada, including the team for Phillips, Hager & North Investment Funds Ltd. (a wholly owned subsidiary of GAM) to ensure
  • Current and emerging business regulatory compliance needs are met through sound and comprehensive advice on regulatory compliance matters.
  • Develop policies and procedures to meet regulatory compliance requirements (working with key business, Law Group and compliance stakeholders).
• Oversees of the Regulatory Compliance Management Program for GAM including RCM systems and program documentation and Monitoring and Testing conducted by the team.
• Maintains in-depth knowledge of relevant securities regulations applicable to GAM, and best practices and relevant internal RBC policies and procedures.
• Serves as Chief Compliance Officer for RBC Global Asset Management Inc. in the categories of Fund Manager; Portfolio Manager, and Exempt Market Dealer and any future registrations required for the firm’s operations.

Strategic Initiatives & Management

• Manages a diverse team of compliance professionals; focuses on attracting, retaining and developing talent; manages accelerated and sustained change; communicates key messages on organizational values and key behaviors;
• Leverages key relationships within GAM to effectively partner with the business to address regulatory compliance challenges;
• Represents compliance interests on complex issues through cross-enterprise working groups and other internal and industry committees.
• Coordinate and work effectively on cross border/global initiatives with counterparts supporting GAM affiliates in the US, UK and elsewhere.
• Coordinate and work effectively on cross LOB initiatives with counterparts supporting other WM affiliates and Enterprise Compliance.

Reporting

• Reports on a timely basis significant compliance issues and relevant updates, significant regulatory developments, and internal compliance initiatives for GAM business, including preparation of periodic compliance reports on compliance matters in prescribed format.
• Accountable to identify, raise and record issues as they arise and to resolve them jointly with other stakeholders, and Enterprise, as may be required.
• Timely escalation of material issues to the Vice President, WM & Insurance Compliance Canada, and/or senior GAM business management, as appropriate.

WHAT DO YOU NEED TO SUCCEED?

 Must have:

• 10-12 years of relevant experience
• Regulatory compliance experience for an asset management firm is required (Fund Manager, Portfolio Manager, Exempt Market Dealer, Mutual Fund Dealer). Qualifications and proficiency required to be registered as CCO.
• University Degree in Business, Law, Finance
• Courses required for CCO registration
• Experience managing a high performing team of professionals
• Ability to identify, understand, resolve and advise on complex business and regulatory matters.
• Subject matter expertise in Canadian securities regulations.
• Strong leadership skills and ability to network with and cultivate cross-enterprise alliances and partnerships with platforms, business units, and other key stakeholders.

Nice-to-have:   

• Professional designation such as CFA, CPA, or Law Degree

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

RBC CENTRE, 155 WELLINGTON ST W:TORONTOTorontoCanada37.5Full timeCHIEF LEGAL & ADMIN OFFICE GRPRegularSalaried2026-05-222026-06-17

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.