Associate Director, Deal Management in Toronto

As Associate Director, you are responsible and act as a key Relationship Manager and Compliance advisor for all private‑side business units within RBC Capital Markets (Canada) and eventual conflicts from Global Research. You assist with conflict identification process for the global Corporate and Investment Banking businesses.

We are pleased to offer you the opportunity to work as key Relationship Manager and Compliance advisor for RBC Capital Markets (Canada) private‑side business units, with focus on deal management program and conflict identification.

Responsibilities

• Responsible for day‑to‑day relationship management and deal status updates on Investment Banking, Corporate Banking, Debt Capital Markets, and Equity Capital Markets mandates.
• Timely additions and removals to the Bank’s watch and restricted lists.
• Quality assurance of all aspects of the deal management program (M&T, deal addition and updates, watch and restricted list management, etc.).
• Assist with administration of the conflicts identification policy and process.
• Analyze escalated communications, determine adherence to policies and regulations, and report to Management accordingly.
• Maintain associated policies and procedures up to date.
• Assist team with all e‑comm escalations regarding deal management.
• Conduct day‑to‑day management of the Global Investment Banking Conflict Identification procedures.
• Co‑ordinate with Global Conflicts Officer and business heads to ensure smooth operation of the Conflict Program.
• Review and approve or elevate research reports for breaches of internal information barriers and/or inappropriate dissemination.
• Lead day‑to‑day management and ongoing enhancements to the compliance program supporting Control Room policies and procedures for both Capital Markets and RBC‑Enterprise.
• Respond to compliance‑related audit issues involving supported business segments.
• Report compliance issues to Director, Control Room, senior management and Chief Compliance Officer, Capital Markets Compliance (Canada).
• Assist with conflict monitoring, testing and associated activities for trading and communications surveillance performed by Canadian Control Room.
• Collaborate with regional compliance colleagues to implement global policies and procedures in relation to personal trading, conflicts of interest and information barriers.

Requirements

• Must have University degree or equivalent education.
• 5+ years of compliance experience.
• Experience managing compliance information barriers program.
• Ability to work independently managing multiple high priorities.
• People management experience is an asset.

Nice to have

• Securities industry related courses and qualifications are a key asset.

What’s in it for you? We thrive on challenge, progressive thinking, collaboration and delivering trusted advice. Make a difference and achieve success together. A comprehensive Total Rewards Program including bonuses, flexible benefits, competitive compensation and commissions. Ability to make a lasting impact. Work in a dynamic, collaborative, progressive, high‑performing team.

Job Skills

• Audits
• Compliance
• Critical Thinking
• Data Gathering & Analysis
• Decision Making
• Financial Regulation
• Industry Knowledge
• Interpersonal Relationship Management
• Product Services
• Risk Management
• Strategic Thinking

Inclusion and Equal Opportunity Employment At 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.