Associate Director Marketing Compliance

What is the opportunity?

RBC GAM U.S. is hiring an Associate Director US Marketing Compliance. The Associate Director US Marketing Compliance will lead the development, execution, and oversight of global marketing compliance strategies, ensuring alignment with regulatory requirements.

What will you do?

Lead marketing compliance within institutional investment management, with demonstrated expertise in both institutional and retail markets. Deep understanding of the Investment Advisers Act, Investment Company Act, and related global regulatory frameworks. RBC GAM U.S. is seeking someone with extensive experience in drafting, updating, and implementing compliance policies, procedures, and guidance documents, ensuring stakeholder engagement and regulatory alignment.

What do you need to succeed?

Must-have

• 10+ years in marketing compliance within institutional investment management, with demonstrated expertise in both institutional and retail markets. Deep understanding of the Investment Advisers Act, Investment Company Act, and related global regulatory frameworks.
• Bachelor's degree required; advanced degree (MBA, JD, or equivalent) preferred.
• Advanced experience in reviewing and approving complex advertising and marketing materials for various fund types, including mutual funds, ETFs,
• Demonstrated ability to influence and partner with senior executives, cross-functional teams, and external stakeholders to promote a culture of compliance and ethical standards.
• Skilled in developing, analyzing, and presenting compliance-related KPIs, dashboards, and reports to executive leadership and board committees.
• Proven track record of leading large-scale, cross-functional projects requiring marketing compliance expertise, delivering actionable recommendations, and driving implementation.
• Expertise in designing and conducting tailored compliance training programs for senior leaders, marketing teams, and other key stakeholders, both on a scheduled and ad hoc basis.
• Advanced experience with compliance workflow management systems and technology solutions to streamline processes and ensure audit readiness.
• Strong experience in managing relationships with third-party compliance partners, ensuring service quality, alignment with internal policies, and cost-effectiveness.
• FINRA Series 24

Nice-to-have

• FINRA Series 7, 63 strongly preferred.
• Additional certifications (e.g., CFA, CIPM) are a plus.

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.

• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $72,000-$127,000, depending on your experience, skills, and registration status, market conditions and business needs.

Job Skills

Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At 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.