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Associate, Marketing Compliance

Employer
RBC Global Asset Management
Location
Vancouver, British Columbia (CA)
Salary
The expected salary range is $50,000 - $100,000 depending on experience
Closing date
Dec 12, 2023

View more

Job Function
Compliance/Regulatory
Industry Sector
Asset Management
Certifications
Passed CFA Level I
Employment Type
Full Time
Education
Bachelors

What is the opportunity?
Do you like rules and helping people follow them while also building industry-relevant knowledge and expertise? This is your opportunity to join the PH&N Institutional asset management business. Based in Vancouver, the Marketing Compliance Associate is one of two professionals responsible for understanding the framework of relevant Canadian securities laws and regulations and RBC corporate policies, standards and practices within which PH&N Institutional operates. The Associate’s duties include keeping current about developments in marketing compliance; reviewing and approving content in presentations, communications and published materials; supporting client onboarding and engagement activities; liaising with RBC Law Group, RBC GAM Compliance, and internal audit, as needed; and helping foster a culture of marketing compliance. The ideal candidate is service-oriented, has an excellent command of MS Office, an awareness of security regulations and an interest in enforcing marketing compliance. You are enthusiastic and deadline-driven, with a keen attention to detail; and you thrive in a collegial, fast-paced environment.

PH&N Institutional is the institutional asset management business of RBC Global Asset Management (RBC GAM) in Canada. https://institutional.phn.com

What will you do?

  • Review marketing materials, sales communications, social media and other content developed for PH&N Institutional audiences.
  • Monitor compliance to Canadian securities laws and regulations, as well as RBC or RBC GAM policies and procedures, and report on results.
  • Seek to remain current and informed about marketing compliance regulations, RBC GAM policies, and PH&N Institutional business standards.
  • Support the implementation of regulatory changes into business practices, and document required policies or processes.
  • Develop and maintain procedures for Institutional Marketing Compliance including disclosures and the review/approval process. In addition, assist in ensuring that relevant RBC GAM policies reflect current business practices.
  • Support certain client engagement and onboarding efforts.
  • Train, educate and inform staff regarding marketing compliance requirements.
  • Maintain the PH&N Institutional Marketing Compliance Log and prepare reports.
  • Liaise with and manage stakeholders f rom RBC GAM and other business partners globally, including partnering and consulting with RBC Law Group and RBC Compliance.
  • Assist with compliance-related projects, regulatory and internal audits, and reviews related to the Marketing Compliance function and within the broader Canadian institutional client business.

What do you need to succeed?

Must Have

  • Post-secondary degree plus 5 or more years of relevant experience, including experience applying rules and regulations in a work context.
  • Sound judgement in decisions that demonstrates a keen attention to detail while also seeing “the big picture” and an ability to simplify the complex.
  • Strong business, organizational and technical writing skills, with an ability to manage multiple, cross-functional stakeholders and competing deadlines and collaborate effectively for the common good of the business.
  • An understanding of the compliance environment for investment fund sales and of investment concepts generally, possibly supported by relevant industry credentials (e.g., Canadian Securities Course, IFIC Investment Funds Course).
  • Proficient in MS Of f ice (Excel, Word, PowerPoint) and Adobe Acrobat.

Nice to Have

  • Cover letter with application demonstrating your strong communication skills.
  • Experience working in the Canadian investment industry, and exposure to relevant compliance requirements for sales communications (especially as they apply to mutual funds), including familiarity with relevant sections of National Instruments 81-102 and 81-105, AML and KYC other relevant regulations and reforms, etc.
  • Law degree, CFA, or CPA designations an asset.
  • French language skills.
  • Ability to work independently, as well as within a team setting.

What’s in it for you?

We thrive on the challenge to be our best, on progressive thinking to keep growing, and on 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 and competitive compensation.
  • Opportunities to do challenging work.
  • Opportunities to take on progressively greater accountabilities.
  • Work in a dynamic, collaborative, progressive, and high-performing team.
  • Management that supports your work and progression.

The expected salary range for the above position is $50,000 - $100,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs.

This position may be eligible to receive a discretionary/variable incentive payment.

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.

https://jobs.rbc.com/ca/en/job/R-0000071114/Associate-Marketing-Compliance

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