What is the opportunity?

In this role, you will be key part of the RBC Brewin Dolphin Compliance Advisory team working across a wide range of new and existing products and services, including funds, investment management and financial planning.

You will advise the business on key regulatory areas including, COBS, PROD, MiFID II and Consumer Duty, helping to deliver practical solutions for business and regulatory change projects while managing compliance and regulatory risk.

What will you do?

• Support the activities of the Compliance Advisory team and help embed a culture of compliance awareness throughout the business by proactively engaging with stakeholders at all levels.
• Provide practical guidance to RBC Brewin Dolphin’s Client Facing Team covering funds, investment management and financial planning products and services, including the interpretation and application of regulatory requirements, industry codes of practice and internal policies and procedures.
• Deliver detailed analysis, interpretation and practical application of new regulatory requirements impacting RBC Brewin Dolphin’s investment and advice related activities.
• Liaise with relevant stakeholders to support the implementation of regulatory requirements across RBC Brewin Dolphin’s investment and advice related activities.
• Advise on and contribute to key business projects and change initiatives, including product and service developments and suitability related standards.
• Maintain and update compliance policies and procedures to reflect the changing business needs and regulations. Support the accuracy of the Regulatory Compliance Management system (RCM) for the business areas and participate in the compliance risk assessments.
• Attend and actively contribute to forums and committees as appropriate, including the review and challenge of associated MI.

What do you need to succeed?

Must-have

• Extensive experience in financial services industry, and a good understanding of retail products and services.
• Strong knowledge and experience in the UK/EU regulatory environment, including FCA rules, Consumer duty and best practice relevant to wealth management firms.
• Understanding MiFID II / COBS requirements specifically relating to the client journey such as client classification, suitability, client reporting, etc.
• Understanding of strategy and portfolio construction processes (e.g., research, investment strategies, asset allocation, risk management, benchmarks, etc.).
• Enthusiasm and drive in developing compliance advisory skill set, along with a willingness to build a strong understanding of the RBC BD business.
• Ability to work under pressure and meet tight deadlines.
• Excellent influencing skills and strong ability to communicate effectively with stakeholders at all levels, including providing direction and challenge where required.
• Quick to grasp new ideas and concepts, with the ability to apply them effectively.

Nice-to-have

• Understanding Takeover Panel and Disclosure and Transparency Rules
• Experience in managing others in a regulatory role in financial services.

What is 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 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.

Agency Notice

RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additional details.

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

12 SMITHFIELD STREET:LONDONLondonUnited Kingdom35Full timeWEALTH MANAGEMENTRegularSalaried2025-06-042025-06-18

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

Inclusion and Equal Opportunity Employment

At 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.