What is the opportunity?
As the Vice President, APAC Control Room and Private-side Advisory, you will be responsible for Compliance coverage for the following Capital Markets businesses in Australia: Global Investment Banking; Global Corporate Banking and Global Equities Research and APAC Control Room. You will support the APAC Head of Control Room to ensure RBC Capital Markets, Australia remains compliant with all appropriate rules, regulation, policies and procedures and will communicate with local business heads, business leaders, regulator, global teams.
What will you do?
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Perform a control room function, including acting as a conduit between the Investment Banking, Research and other Capital markets business, with the duty to manage conflicts, clear research, wall cross, and handle inside information issues as required.
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Responsible for the timely performance of the compliance requirements enshrined in law, regulations and guidance. These includes ASIC Market Integrity Rules (Securities Markets) and market practices for RBC Capital Market's Australia.
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Pro-actively collaborate with employees of the Research, Global Investment Banking, and more broadly where relevant, in relation to various regulatory matters.
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Keep up to date with all legal and regulatory changes as relevant including from APRA, ASIC, ASX and Cboe and advise the business where appropriate.
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Undertake monitoring, including Control Room and email monitoring. Look to proactively develop the monitoring program in line with the business and regulatory risks.
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Draft and present relevant compliance training, including compliance inductions.
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Input into compliance management reporting.
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Assist with policy and procedure reviews, regional and Global, as required.
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Assist with regulatory enquiries, including liaising with internal and outside counsel as necessary.
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Carrying out the tasks required under the RBC RCM program to the required standard within the required deadline.
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Advise, monitor, test and provides oversight to the relevant business lines
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Strengthen the Compliance Management Framework both locally and globally, with a particular focus on Control Room and the businesses for which has coverage responsibility.
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Help evolve the practices of the Australian Compliance team to most current relevance and proactively support future needs
What do you need to succeed?
Must-have
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University degree, preferably in Law.
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Sound knowledge of the relevant aspects of the Corporations Act, ASIC Regulatory Guides, ASIC Market Integrity Rules, ASX Operating Rules, Cboe Operating Rules, and all other relevant rules as may be applicable.
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Excellent communication skills.
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Attention to detail focused.
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Good interpersonal and team skills.
Nice-to-have
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5 years or above relevant compliance/ legal experiences.
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Experience in financial markets.
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Knowledge of Global Investment Banking and Equity research.
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Proficiency in PowerPoint, word and excel.
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.
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A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation
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Leaders who support your development through coaching and managing opportunities
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Opportunities to work with the best in the field
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Ability to make a difference and lasting impact
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Work in a dynamic, collaborative, progressive, and high-performing team
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A world-class training program in financial services.
RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, colour, religion, sexual orientation, gender identity, age, disability or any other legally-protected factors.
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
25 MARTIN PLACE:SYDNEY
Sydney
Australia
38
Full time
CHIEF LEGAL & ADMIN OFFICE GRP
Regular
Salaried
2026-07-21
2026-08-22
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.
