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About the Role

As the Vice President, APAC Control Room and Private-side Advisory, you will be responsible for Compliance coverage for Capital Markets businesses in Australia, including Global Investment Banking, Global Corporate Banking, and Global Equities Research. You will support the APAC Head of Control Room to ensure RBC Capital Markets, Australia remains compliant with all rules, regulations, policies, and procedures, and will communicate with local business heads, business leaders, regulators, and global teams.

Responsibilities

Perform a control room function, acting as a conduit between Investment Banking, Research, and other Capital Markets businesses to manage conflicts, clear research, wall cross, and handle inside information issues.
Ensure timely performance of compliance requirements mandated by law, regulations, and guidance, including ASIC Market Integrity Rules and market practices for RBC Capital Markets Australia.
Collaborate with employees in Research, Global Investment Banking, and other relevant areas on various regulatory matters.
Stay updated on legal and regulatory changes from APRA, ASIC, ASX, and Cboe, and advise the business accordingly.
Undertake monitoring, including Control Room and email monitoring, and proactively develop the monitoring program based on business and regulatory risks.
Draft and present relevant compliance training, including compliance inductions.
Provide input into compliance management reporting.
Assist with policy and procedure reviews, both regionally and globally.
Assist with regulatory inquiries, liaising with internal and external counsel as needed.
Execute tasks required under the RBC RCM program to the required standard and within deadlines.
Advise, monitor, test, and provide oversight to relevant business lines.
Strengthen the Compliance Management Framework locally and globally, with a focus on the Control Room and covered businesses.
Help evolve the practices of the Australian Compliance team to current relevance and proactively support future needs.

Requirements

University degree, preferably in Law.
Sound knowledge of the Corporations Act, ASIC Regulatory Guides, ASIC Market Integrity Rules, ASX Operating Rules, Cboe Operating Rules, and other applicable rules.
Excellent communication skills.
Attention to detail focused.
Good interpersonal and team skills.
5 years or above relevant compliance/legal experience.
Experience in financial markets.
Knowledge of Global Investment Banking and Equity research.
Proficiency in PowerPoint, Word, and Excel.

Skills

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

Location

25 MARTIN PLACE:SYDNEY
Sydney
Australia

Work Type

Full time
Salaried

Experience Level

Vice President
5 years or above relevant compliance/legal experiences

Education Level

University degree, preferably in Law

Benefits

A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation
Leaders who support your development through coaching and managing opportunities
Opportunities to work with the best in the field
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

About the Company

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.
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.

Equal Opportunity

RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, colour, religion, sexual orientation, gender identity, age, disability or any other legally-protected factors.