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Assistant Manager, Capital Markets Compliance Initiatives

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Brewin Dolphin

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Location:
United Kingdom , Newcastle Upon Tyne

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

In this role, you will be part of the European Capital Markets Advisory Compliance team based in London, Paris & Frankfurt. Reporting into the Head of CM Compliance Initiatives, you’ll support the delivery of key responsibilities to ensure 2LOD advice and challenge on regulatory matters within the European Global Markets, Global Investment Banking, Corporate Banking and Research businesses. Through co-ordination of team MI, tracking of Compliance deliverables and input into key tasks such as monitoring and training, you’ll be helping to protect RBC Capital Markets’ brand and enable the achievement of business goals through an integrated Compliance Culture and Compliance Programme across Capital Markets.

Job Responsibility:

  • Support effective use of the CM Compliance Team Tracker & Dashboard to ensure centralised tracking of team deliverables, timely completion of necessary tasks and an up to date source of information for use in MI
  • Provide support and assistance to the CM advisory team in respect of the preparation of Management Information, training materials and Compliance communications
  • Perform monitoring activities to ensure compliance with applicable policies & procedures
  • Perform analysis on Compliance datasets, to create overviews of trends for use in MI
  • Assist in the revision of Compliance policies, procedures and processes to enable RBCCM business units to comply with current regulatory and firm policy requirements
  • Support the broader CM Advisory team with triage and review of E-communications escalations
  • Lead organisation of the bimonthly CM Compliance huddle, including preparation of the agenda and identification of key speakers

Requirements:

  • Strong interpersonal and communication skills, both written and oral
  • Ability to work on own initiative with limited supervision
  • Strong time management and organizational skills: ability to meet deadlines and work under pressure
  • Flexible: able to react promptly to shifting priorities
  • Willing – and happy – to learn: the role will entail exposure to a wide variety of regulatory topics and will constantly evolve
  • Comfortable working in a changing environment
  • “partnership mentality”: Happy to share knowledge / expertise with colleagues (immediate team and business partners)
  • Attention to detail
  • Excellent analytical skills and a curiosity to understand the ‘why’

Nice to have:

  • Experience in performing data analysis
  • An interest in developing an understanding of the Capital Markets businesses and the Compliance requirements that apply to them
What we offer:
  • A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation
  • Leaders who support your development through coaching and managing 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 program in financial services

Additional Information:

Job Posted:
February 01, 2026

Expiration:
February 10, 2026

Employment Type:
Fulltime
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