Associate Director, Compliance - Operational Strategist

Job Summary

Job Description

What is the Opportunity?

Reporting to the Chief Operating Officer (COO), U.S. Investment Management and Broker-Dealer Compliance (IMBD). The candidate will be a strategic partner to the COO and work closely with the Chief Compliance Officer (CCO) to execute IMBD Compliance's strategic initiatives aligning these efforts with the overall vision and goals of the Global Compliance Department.

We are seeking a highly motivated, self-directed, results oriented person to fill the role. This critical position will work closely with the leadership team, playing a pivotal role in ensuring the efficient operations, strategic planning, development, and growth of the organization. The role will be responsible for a wide range of functions including but not limited to strategic initiatives across business segments as well as regulatory matters, business development, employee engagement, and remediation efforts. Therefore, the ability to prioritize and multi-task is critical for success in his role.

What are the responsibilities?

Strategic Planning

• Work closely with the COO and CCO to execute strategic initiatives, aligning the results-focused efforts to achieve overall vision and goals of the Global Compliance Department.

• Assist in the development and execution of the strategic plan, focusing on alignment of regulatory programs across business segments.

• Conduct analyses to identify trends, new opportunities, and strategic opportunities to enhance team.

• Drive innovation identifying and implement new technologies, and processes to enhance operational efficiency.

• Engage in financial forecasting, modeling, and business development, including strategic planning and budgeting.

• Prepare senior management meeting materials, such as Executive Committee meetings and materials for presentations to various business lines.

• Create content and strategic documents for the CCO.

Organizational/Operational and Strategic Enablement

• Assist in assessing current processes and identify areas for improvement and streamlining.

• Implement best practices to enhance operational efficiency and effectiveness.

• Facilitate business operations, by effectively partnering with functional resources including Marketing, Communications, Human Resources, Information Technology, and Corporate Real Estate, etc.

• Provide support to the CCO and Operating Committees, including coordinating meetings, preparing briefing materials, prioritizing strategic topics, as well as tracking data/progress and ensuring completion of follow-ups.

• Assist with key strategic projects and initiatives, tracking data/progress and ensuring timely completion.

• Foster effective communication and collaboration among different departments and teams within the organization to drive efficiency and productivity.

• Conduct research, analyses, and data-driven recommendations to support executive decision-making processes.

• On-going support for various ad-hoc strategic initiatives

Data Analysis and Reporting

• Serve as an immediate support resource, in coordination with the COO, for the CCO on any matter that requires quantitative or technical analysis.

• Prepare report and develop and execute strategies to identify and pursue opportunities for program enhancements.

• Continually assess and refine our operating model, strategies to align with business and regulatory objectives.

• Establish and track key performance indicators (KPIs) related to regulatory initiatives, team performance and regularly reporting progress to the executive team and Operating Committees and presentations for the executive team to support decision-making.

What are the Qualifications?

• Finance background is preferred but not required.

• Bachelor's degree in finance / accounting / business preferred but not required or MBA or equivalent with emphasis in finance/accounting or management.

• 6+ years of experience in a financial institution, management consulting firm or another highly regulated industry with a track record of handling analytical work and managing complex projects and initiatives.

• Project/Initiative or Change Management experience preferred.

• Highly motivated, resourceful and self-directed with a results-oriented mindset.

• Ability to partner with senior business stakeholders.

• Strong analytical, problem-solving, and decision-making skills.

• Ability to work collaboratively on a team and build effective working relationships.

• Strong organizational skills and a keen attention to detail.

• Must be proficient with Power Point, Excel, Outlook, Word (test may be required).

• Proficiency in Visio, SharePoint, JIRA, and Confluence is a plus.

• Ability to develop, implement, and interpret policies and procedures.

• Excellent written and verbal communication, interpersonal, networking, leadership, project management, organization, and multitasking skills, along with strong research, and effective presentation skills.

• Ability to communicate sensitive information verbally and in writing to individuals at all levels.

• This is a hybrid role. Must be available to be in the New Jersey office 3 + days per week.

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

• Opportunities to do challenging work

• Opportunities to building close relationships with clients

The 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 culture

• Enables collective achievement of our strategic goals

• Generates sustainable shareholder returns and above market shareholder value

Job Skills

Analytical Thinking, Business Management, Data Reporting, Leadership, Microsoft Excel, Microsoft PowerPoint, Project Management, Regulatory Compliance Management, Strategic Initiatives, Strategic Planning, Taking Initiative

Additional Job Details

Address:

GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY

City:

Jersey City

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

Law and Compliance

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-04-08

Application Deadline:

2024-04-08

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.

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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