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Job Title
Job Description
What is the opportunity?
For our Compliance Department in Luxembourg, we are looking for a compliance professional to deal with regulatory compliance matters (excluding AML). Covering areas such as Business and Market Conduct related regulations, the Senior Manager will support Compliance activities in relation to Risk Appetite, Frameworks and Culture, as well as Compliance Monitoring & Testing, Actions follow-up and Reporting, with immediate focus on Luxembourg but also providing key support and oversight on underlying subsidiaries and branches, essentially in Europe and Malaysia.
What will you do?
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Identification and assessment of non-Compliance Risks:
- Manage the development and update of the Bank’s Compliance Risk Appetite, Framework, Policies, and Procedures, ensuring these address (evolving) Regulatory requirements, factoring business specificities, as appropriate;
- Manage the development and update, in collaboration with Business, a Compliance Risk Assessment of the activities carried out by the Bank;
- Participate in the design and implementation of the employee information and training system.
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Control (Monitoring & Testing) and Oversight:
- Carry out 2nd line independent controls as well as review, assess and test relevant business controls supporting compliance with the Bank’s Compliance framework and applicable regulations;
- Support and oversee subsidiaries and branches Compliance related activities, in conjunction with Local Compliance Officers;
- Perform ad-hoc Compliance reviews, as appropriate.
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Monitoring and Reporting
- Follow up on Compliance / Regulators’ recommendations (where applicable);
- Contribute to the Bank’s Compliance reporting processes.
What do you need to succeed?
Must-have
- Previous regulatory experience in Big 4, asset servicer, bank or asset manager
- Strong knowledge of applicable laws and regulations, including CSSF circulars in Luxembourg
- Experienced in (Regulatory) control assessments (design and effectiveness)
- Excellent analytical and communication skills (including writing skills);
- Team spirit and collaborative mindset, combined with ability to exercise independent judgment
- Proficient in English and French.
Nice-to-have
- Compliance Certification
- Advanced MS Excel and/or Access skills
- Good knowledge of products and services offered by an Investor Servicing Bank (in particular in relation to Custody/Depositary role);
- Superior problem solving skills;
- Strong organizational competences.
Job Summary
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Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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