Assistant Compliance Manager

What is the opportunity?
 

You will be working in a specialist Compliance team focused on RBC’s delivery of the Senior Managers and Certification Regime and on employee conduct. This role offers the right candidate the opportunity to start / develop their career in financial services compliance as the team develops its mandate in a changing organisation.

What will you do?

• Support the operation of the Compliance Breach Management Forum

• Approve and reject front office book requests

• Manage user access to FCA Connect

• Provide support on the SMCR and related RBC policies and procedures

• Conduct monitoring of RBC’s delivery of its responsibilities under the SMCR

• Preparing management information and presentation slides using PowerPoint

• Proactively create, maintain and continually seeking to enhance internal team processes and documentation, including team procedure documents

What do you need to succeed?

Must-have

• Ability and willingness to accept accountability for delivery

• Initiative and the ability to work independently with limited supervision

• High level of accuracy and attention to detail, particularly when delivering repeatable BAU responsibilities.

• Strong time management and organisational skills / ability to meet deadlines and work under pressure.

• Strong interpersonal and communication skills.

• Good drafting, presentation and analytical skills.

• Mindset of continually seeking to challenge and improve

Nice-to-have

Experience of:

• delivering repeatable daily tasks consistently and to a high standard in line with established practice;

• drafting professional documents;

• diligently maintaining accurate records;

• documenting and maintaining procedures and policies;

• using Excel and SharePoint to deliver and track responsibilities;

• workstreams and projects relating to the SMCR;

• the FCA’s certification and regulatory reference regimes; and

• the FCA’s Connect system.

What is in it for you?

In this role you will have the opportunity to:

• Work with subject matter experts and develop your knowledge of the Senior Managers and Certification Regime (SMCR) and related regulatory areas. The SMCR is one of the fundamental components of the UK regulatory regime and has been adopted, in different forms, by other global regulators.

• Help drive forward the team’s objectives, including the design and delivery of monitoring activities. 

• Learn and grow with one of the world’s largest financial services organisations.

Within RBC 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.

• 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

Critical Thinking, Data Gathering Analysis, Industry Knowledge, Internal Controls, Product Services, Risk Management, Strategic Thinking

Additional Job Details

32 GALLOWGATE:NEWCASTLE UPON TYNE

Newcastle upon Tyne

United Kingdom

35

Full time

CHIEF LEGAL & ADMIN OFFICE GRP

Regular

2025-03-17

2025-03-28

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

Inclusion and Equal Opportunity Employment