Job Description
What is the opportunity?
You will be protecting RBCCM’s brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:
- Assisting senior management and businesses in embedding compliance and compliance management in the culture of RBC EG businesses and operations;
- Aligning regulatory priorities with the Business and RBC;
- Contributing to a strong, effective control environment.
RBC’s expectation is that from mid-September 2025, all employees and contractors will work in the office with some flexibility to work up to 1 day per week remotely, depending on working arrangements.
What will you do?
- Maintaining a detailed knowledge of applicable regulations (e.g. WpHG, WpIG, MaRisk and MaComp), best practices and relevant internal RBC policies and procedures;
- Designing and maintaining policies and procedures to address identified regulatory risks as they relate to laws, regulations and regulatory expectations;
- Devising and delivering Compliance training to the local businesses with an emphasis on reiterating the importance of the Front Office being the First Line of Defence;
- Acting as a co-ordination point for Compliance function inputs for regular WpHG and Annual Audits and providing compliance support (as needed) to business stakeholders in respect of these audits;
- Supporting Compliance Risk Assessment processes in respect of RBC EG and its branches
- Collaborating on implementing and assessing WpHG Compliance controls as they relate to the Compliance Control Plan;
- Supporting the RBC EG Head of compliance in providing regular Compliance reporting to the Management and Supervisory Board;
- Drafting and submitting STORs to BaFin;
- Support and advise RBC EG businesses and local management on the application of current and future legislation with regard to complying with relevant rules and regulations and for the conduct of business by the specified entities
- Undertake a primary role in undertaking RBC EG compliance monitoring activities to determine adherence with relevant WpHG and other conduct of business rules;
- Assisting with the investigation of any transaction surveillance alerts that are generated in relation to the activities of the specified entities
- To be an integral part of the compliance team, assisting other team members and undertaking ad-hoc assignments as required; and
- Promoting observance of high standards of business conduct and ethical standards.
What do you need to succeed?
Must-have
- Compliance experience within a financial institution based in Germany, or with a German regulator and/or comparable environment.
- Comfortable in multilingual and multicultural environment (including excellent German and English oral and written communication skills).
- Wholesale/capital markets businesses knowledge in order to provide compliance support to the RBCCM Germany operations, including:
- Global Investment Banking which involves providing corporate finance advice to German counterparties;
- Fixed Income, Currencies and Commodities (FICC) which involves origination of debt capital markets business and investment brokerage (e.g. FX, Rates and Credit);
- Equities which involves origination of equity capital markets and investment brokerage in secondary markets covering European, Canadian, US and Australian equities; and
- Corporate Banking which involves commercial lending to German counterparties.
- Strong grasp of banking and securities laws, regulations, directives and expectations, with detailed understanding of the application and impact of the Wertpapierhandelsgesetz (WpHG) as it relates to the German WpHG Audit, WpIG and other relevant Acts.
- Willingness to accept accountability and demonstrate initiative.
- Highly developed written and verbal communication skills including ability to build relationships at all levels of the bank and possess the confidence and poise to deal with senior management and head traders.
- Ability to conduct duties expediently, aptitude for accuracy, attention to detail, and hands-on approach.
- Collaborative approach vis-à-vis the other GTO functions.
- Ability to maintain confidentiality of sensitive information.
- Good computer literacy, knowledge of Word, Excel, Access and Outlook essential
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, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
Additional Job Details
Address:
9-10 TAUNUSANLAGE:FRANKFURT AM MAIN
City:
Frankfurt Am Main
Country:
Germany
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-12-17
Application Deadline:
2026-04-27
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.
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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.