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About the Role

This role involves providing expert compliance advice, managing regulatory risks, and driving key business initiatives within the RBC BlueBay Compliance Advisory UK team. You will ensure adherence to regulatory requirements and contribute to the firm's success in a collaborative environment.

Responsibilities

• Provide expert regulatory advice on UK/EU UCITS and Alternatives funds.
• Provide expert regulatory advice on US 40 Act Funds.
• Support the compliance team in maintaining the Restricted List of issuers.
• Complete periodic compliance certifications for clients.
• Conduct conflict checks on potential investment opportunities and escalate identified conflicts.
• Provide advice on ESG, Responsible Investment and Taxonomy matters.
• Drive the alignment and integration with enterprise standards.
• Drive efficiencies and enhancements to existing Compliance controls and framework.
• Develop, review, and maintain robust Compliance Policies and Procedures for RBC BlueBay UK.
• Assist with the delivery of Compliance Management Information for periodic reports.
• Provide ongoing support to maintain the accuracy of RCM and contribute to compliance risk assessments.
• Conduct Compliance Monitoring of business areas covered.
• Provide advice on general queries relating to Requests For Proposals.
• Develop a training program and conduct compliance training.
• Participate in business projects and enterprise initiatives, offering compliance guidance.
• Support the compliance central teams with the delivery of testing and surveillance escalation and policy breaches closure.
• Monitor and manage compliance risks, ensuring adherence to regulatory requirements.
• Develop and maintain strong relationships with internal stakeholders.
• Proactively identify and address regulatory and reputational risks.

Requirements

• Expertise in UK, EU and US regulations relevant to asset management.
• Expertise in the investment fund industry, including proven experience with UCITS and Alternative products.
• Strong knowledge of investment compliance, including investment borrowing limits, portfolio compliance monitoring, and fund restriction management.
• Demonstrable experience with conflicts clearance processes and managing conflicts of interest in an investment management environment.
• Proven experience with wall-crossing procedures, managing restricted lists, and handling material non-public information.
• Expertise in UK/EU regulatory environments, and FCA Handbook rules.
• Minimum of 5 years of experience in a role requiring knowledge of UK, EU and SEC regulation and legislation applicable to Asset Management.
• Excellent attention to detail and organizational abilities.
• Strong work ethic, positive, pro-active and adaptable attitude.
• Strong interpersonal and communication skills.
• Ability to work under pressure and meet deadlines.
• Strong team and growth mindset, with proven ability to collaborate effectively with relevant stakeholders.
• Experience of ESG Requirements and Standards.
• Commitment to professional development and continuous learning.

Skills

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

Location

• 100 BISHOPSGATE:LONDON
• London
• United Kingdom

Work Type

• Full time

Experience Level

• Minimum of 5 years of experience

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
• Flexible working options fully supported.

About the Company

• 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.