Associate Director – Deal Management

Associate Director – Deal Management

Requirements

• University degree or equivalent education
• 5+ years of compliance experience
• Experience managing compliance information barriers program
• Ability to work independently, managing various high priorities
• People management experience is an asset

Responsibilities

• Responsible for the day-to-day relationship management and deal status update on Investment Banking, Corporate Banking, Debt Capital Markets, and Equity Capital Markets mandates.
• Responsible for timely additions and removals to the Bank’s and its affiliates watch and restricted lists;
• Quality assurance of all aspect of deal management program (M&T, Deal addition and updates, watch and restricted list management etc.)
• Assist when needed with the administration of the conflicts identification policy and process;
• Analyzing escalated communications, determining if employees are adhering to policies and regulations, and reporting to Management accordingly;
• Maintaining associated policies and procedures up to date.
• Assist the team with all the e-comm escalations in respect to deal management team.
• Assisting in the day-to-day management of the Global Investment Banking Conflict Identification procedures designed to address potential issues arising from the firm making commitments to one or more clients on mandates that might result in a real or perceived conflict between clients, the RBC Group or its employees;
• Coordinating with the Global Conflicts Officer and the Business Heads to ensure smooth operation of the Conflict Program.
• Reviewing and approving or escalating research reports to identify breaches of internal information barriers and / or inappropriate dissemination of inside or confidential information
• Responsible for the day-to-day management and ongoing enhancements to the compliance program supporting the administration of Control Room policies and procedures for both Capital Markets and RBC-Enterprise including, but not limited to, the following:
• Responding to Compliance-related audit issues involving supported business segments;
• Reporting any Compliance-related issues to the Director, Control Room, senior management and the Chief Compliance Officer, Capital Markets Compliance (Canada), as appropriate;
• Assisting with conflict monitoring, testing and associated activities for trading and communications surveillance conducted by the Canadian Control Room;
• Collaborating with regional Compliance colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers.

Preferred Qualifications

• Securities industry related courses and qualifications are a key asset