What is the opportunity?
An exciting opportunity to join the RBC BlueBay Compliance Advisory UK team as a Senior Compliance Officer, where you will provide expert compliance advice, manage regulatory risks, and drive key initiatives. You will ensure RBC BlueBay’s adherence to regulatory requirements while actively contributing to the firm’s success.
What will you do?
* Provide expert regulatory advice on US rules and UK/EU compliance matters.
* Advise on ESG matters and cross‑border distribution of investment products and services into markets globally, including UCITS and alternatives.
* Drive alignment and integration with enterprise standards.
* Improve and enhance existing Compliance controls and framework.
* Develop, review and maintain robust Compliance Policies and Procedures for RBC BlueBay UK.
* Assist with delivery of Compliance Management Information for periodic reports to the Board and Committees.
* Maintain accuracy of RCM for the business areas covered and support compliance risk assessments.
* Conduct Compliance Monitoring of business areas as required.
* Provide advice on general queries relating to Requests For Proposals and ensure standard responses covering the Compliance department are up to date.
* Develop and conduct compliance training to support business awareness and understanding of firm and regulatory standards.
* Participate in business projects and enterprise initiatives, offering compliance guidance.
* Support compliance central teams with the delivery of testing and surveillance escalation and policy breach closure.
* Monitor and manage compliance risks, ensuring adherence to regulatory requirements.
* Develop and maintain strong relationships with internal stakeholders.
* Proactively identify and address regulatory and reputational risks.
Must‑have qualifications
* Expertise in US rules, including SEC, ERISA and CTFC regulations relevant to asset management.
* Experience in the investment fund industry, including proven experience with UCITS and alternative products.
* Knowledge of UK/EU regulatory environments and FCA Handbook rules.
* Minimum 5 years of experience in a role requiring knowledge of UK, EU and SEC regulation applicable to asset management.
* Experience with ESG requirements and standards.
* Excellent attention to detail and organizational abilities.
* Strong work ethic, positive, proactive and adaptable attitude.
* Strong interpersonal and communication skills.
* Ability to work under pressure and meet deadlines.
* Strong team and growth mindset, with proven ability to collaborate effectively with stakeholders.
Nice‑to‑have
* Familiarity with APAC and Middle East regulatory landscape, cross‑border distribution and pre‑marketing rules.
* Commitment to professional development and continuous learning.
What is in it for you?
* A comprehensive Total Rewards Programme including bonuses, flexible benefits and competitive compensation.
* Leaders who support your development through coaching and management 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 programme in financial services.
* Flexible working options fully supported.
Job Skills
* Audits Compliance
* Critical Thinking
* Data Gathering Analysis
* Decision Making
* Financial Regulation
* Industry Knowledge
* Interpersonal Relationship Management
* Product Services
* Risk Management
* Strategic Thinking
Job Details
* Address: 100 Bishopsgate, London.
* City: London
* Country: United Kingdom
* Work hours/week: 35
* Employment Type: Full time
* Platform: Wealth Management
* Job Type: Regular
* Pay Type: Salaried
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