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Associate Director, Operational Risk, Regulatory Compliance & Business Continuity
Putrajaya, Putrajaya, Malaysia · On-site
Mid level$22M raised
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Full-time
Posted 35d ago
Apply by Sep 30
~40 hrs/week
Responsibilities
The role involves conducting internal audits, identifying areas of exposure, and communicating audit results to relevant parties. It also provides technical and consulting support for quality and compliance audits to line management and external auditors.
Requirements
Candidates should possess strong skills in financial regulation, regulatory operations, and root cause analysis. Proficiency in Microsoft Office and experience with OTC derivatives and portfolio reconciliation are expected.
Full job description
Job Description
The CM Canadian Regulatory Services group is responsible for ensuring the ever changing regulatory reporting requirements imposed by various global Regulators for OTC Derivatives are successfully implemented and executed. This role is responsible for ensuring compliance with the trade reporting regulations including but not limited to CFTC, CSA and SEC for OTC Derivatives trading. The role will involve daily reconciliations and exception monitoring, investigation, issue management and MI reporting.
Working Hours: 9.00AM -6.00PM / 3.00Pm -12.00AM
What will you do?
Perform daily and weekly trade reporting reconciliations
Perform investigations and determine root causes leading to regulatory rejections
Perform daily Global Trade Repository warning report review, daily exception monitoring and issue management
Counterparty reconciliations to Global Trade Repository
Perform onboarding processes related to portfolio reconciliation.
To ensure all daily tasks / controls are completed in line with the departmental procedures.
To continue to develop product / market knowledge to ensure daily processes are appropriate to reduce operational risks.
To investigate any processing issues and recommend a course of action to the Team Manager. Once approved, assist in the execution of the proposed change.
To support colleagues during busy periods by sharing workloads as applicable.
To adhere to mandatory training requirements and take a proactive approach to suggesting appropriate additional training as required for the role.
Liaise with Front Office, COO, Compliance, IT, Trading Documentation Team, and Client Data Management to resolve any client issues
Escalate trade reporting issues to Senior Management and Compliance as deemed necessary
Achieve and maintain highest levels of customer Service
Analyze current state processes to provide suggestions for process re-engineering and technology implementation to improve efficiency and controls.
Effectively communicate and build rapport with team members, stakeholders and business partners using a variety of techniques and collaboration from initiation to close.
What do you need to succeed?
Must-have
1+ years of operational experience in a busy, high risk and demanding operational environment
Bachelor’s degree specializing in Business, Finance, Math or Engineering
Solid understanding of procedures and operational controls as they relate to systems and work flows
Detailed understanding of the fundamentals of Capital Markets trading and the transaction lifecycle
Working knowledge of OTC Derivative products
Knowledge of CFTC, SEC, CSA and other global derivatives reform regimes
Excellent communication skills – both verbal and written, including presentation skills
Able to manage multiple priorities, work under pressure, learn quickly, and perform new tasks accurately, effectively, and efficiently
Familiarity with front, middle and back office applications (Bloomberg, Sophis, TradeWeb, MarkitWire, Murex, DTCC etc.)
Skillful in Microsoft Office Suite (Outlook, Excel, Access, PowerPoint, Word, Visio, etc.)
Nice-to-have
Detailed understanding of RBC Capital Markets organizational structure (front office sales and trading, middle office, product control, back office operations, regulatory/compliance, etc.)
Proficiency in VBA (Visual Basic for Applications) or Python is an asset
Job Skills
Audits Compliance, Communication, Critical Thinking, Data Gathering Analysis, Detail-Oriented, Financial Regulation, Group Problem Solving, Internal Controls, Microsoft Office, Operational Requirements, Organizational Governance, OTC Derivatives, Portfolio Reconciliation, Problem Analysis, Regulatory Operations, Root Cause Analysis (RCA), Root Cause Problem Solving, Time Efficiency, Time Management
Additional Job Details
Address:
PERSIARAN IRC 2, IOI RESORT CITY IOI CITY TOWER ONE:PUTRAJAYA
City:
Putrajaya
Country:
Malaysia
Work hours/week:
40
Employment Type:
Full time
Platform:
CAPITAL MARKETS
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2026-07-08
Application Deadline:
2026-09-30
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.
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com.
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