Associate Compliance Analyst Jobs (NOW HIRING)

What is the opportunity?

As a Marketing Compliance Analyst, you will play a critical role in supporting the firm's Institutional and Retail marketing compliance framework. This role primarily focuses on executing marketing compliance reviews and managing the day-to-day workflow queue under the guidance of the Associate Director. You will ensure marketing, performance, and sales materials adhere to firm policies and regulatory standards (e.g., SEC, FINRA), while escalating complex issues to the Associate Director for resolution.

What will you do?

• Conduct thorough reviews of advertising, sales literature, marketing collateral, digital properties, and thought leadership materials against regulatory and firm standards.
• Prioritize and process compliance review requests efficiently to meet business needs.
• Apply knowledge of SEC, FINRA, Investment Advisor Act, and Investment Company Act rules to ensure materials meet compliance requirements.
• Engage with sales, production, and marketing teams to provide compliance feedback and guidance on routine matters.
• Ensure accurate documentation and retention of reviewed materials for audit purposes.
• Support internal/external audit processes by providing requested materials and insights under the Associate Director's oversight.
• Identify and escalate high-risk or ambiguous compliance matters to the Associate Director for advanced review.

What do you need to succeed?

Must-have

• 3+ years of experience in marketing compliance, regulatory review, or a related function within financial services.
• Series 7 required; must have or be able to obtain the series 24 within 90 days of hire.
• High ethical standards and attention to detail.
• Ability to build relationships with internal partners (e.g., marketing, sales, legal).

Nice-to-have

• A degree (e.g., BA/BS) in a relevant field such as Business, Finance, or Law.
• Experience reviewing marketing/advertising materials for SEC/FINRA compliance.
• Understanding of the Investment Advisor Act, Investment Company Act, and the SEC marketing rule.
• Experience with compliance workflow tools or third-party compliance platforms.
• Familiarity with digital marketing compliance (e.g., websites, social media).

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 $60,500-$104,500, depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC's high-performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value

Job Skills

Additional Job Details

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.

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.