Compliance Risk Assessment Associate

What is the Opportunity?

The Compliance Risk Assessment Senior Analyst will support the Associate Director and Director of Compliance Risk Assessment in the execution and continuous enhancement of the enterprise program. This role will help identify, assess, monitor, and report compliance risks across business units, ensuring alignment with regulatory expectations and internal governance standards.

What will you do?

• Support Risk Assessment activities including taxonomy updates, business review and updates, Baseline Inherent Risk Rating process, and end of year reporting.
• Maintains the annual applicability and aggregation files for CUSO Segments.
• Assist in tracking 1LOD and 2LOD completion of the risk assessment for reporting of KPIs, as well as assisting in QA of 2LOD review and challenge.
• Provides access to GRC system by coordinating with Enterprise Technology team.
• Provides support in responding to internal/external requests for risk assessment documentation.
• Assists with maintaining, updating, and improving the team SharePoint site and shared folders/mailbox.
• Responsible for maintaining and updating project plan and supporting task trackers.

What do you need to succeed?

Must-Have

• 3-5 years' experience in the financial services industry in Compliance, Legal Department or at a financial institutions regulator
• Knowledge of and familiarity with FINRA, SEC, MSRB, FRBNY, CFPB and OCC rules and regulations and expectations
• Proficient in Microsoft Office tools
• Experience with operating in a highly matrixed environment
• Ability to work with data (including data presentation, trending and analysis)
• Ability to manage heavy workload and strong prioritization judgement
• Team-focused management style and ability to motivate and upskill team members
• Excellent communication, influencing and presentations skills

Nice-to-Have

• Graduate Degree
• Strong project management and organizational skills, with a high degree of attention to detail
• Ability to operate independently as well as collaboratively to generate solutions
• Strategic thinking and ability to understand overall compliance risk management framework
• Ability to connect the dots and understand the interconnectivity and interdependency between regulatory change/content and other compliance risk management framework elements

What's in it for you?

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.

• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

Job Skills

Additional Job Details

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

Our Employment Opportunities

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.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.