- Director, Capital Markets Controls for Operations (US)

What is the opportunity?

The Director, CM Controls for Operations, manages the US Operations Risk & Controls Governance (RC&G) function within Capital Markets (CM), with responsibility for direct reports within the US region.

This role is responsible for ensuring that operational risks are effectively monitored and reported across business functions to provide appropriate oversight and alignment with enterprise policies.

The Director, CM Controls for Operations will work with CM leaders to drive alignment and standardization across processes, procedures, controls, management reporting, toolsets, and governance.

Should you be shortlisted, do please let us know if you have any specific requirements for the interview.

This is a permanent, full-time role and requires 4 days in the 30 Hudson Street, Jersey City office.

What will you do?

Drive the implementation of a robust, efficient, and standardized control framework—strategically and operationally—to ensure risks are proactively identified, measured, monitored, communicated, and escalated.

Key responsibilities include:

• Oversight and governance of the control framework across the US regions, including processes, risks, controls, issues, metrics, and reporting to ensure proactive risk identification and monitoring.
• Participate in and support root cause analysis of audit findings, operational risk events, and control gaps, with recommendations for mitigation strategies and enhancements to the control infrastructure.
• Participate in and support operational risk events and incident management, coordinating with central CM operational risk and control teams to ensure accurate capture and appropriate remediation.
• Establish and maintain control inventories through maintenance, extension, and rationalization of CM Operations key and non-key controls. Facilitate standardized reviews of key risk areas via deep dives and continuous monitoring oversight.
• Lead and support control assurance programs through oversight and coordination, ensuring control deficiencies are identified, escalated, and remediated in a timely manner, with adherence to Internal Control Management Policy (ICMP) requirements.
• Lead and collaborate with senior leadership, regional RC&G leads and 1LOD functions to coordinate operational risk and control initiatives, providing subject matter expertise and independent challenge where needed.
• Establish robust lineage and heatmapping across policies, processes, risks, controls, and issues to connect enterprise frameworks holistically.
• Facilitate governance forums and production of related reporting for regional risk forums, senior management, and regulatory bodies.
• Lead standardization and streamlining efforts across RC&G control frameworks, leveraging AI tools to identify automation and process efficiency opportunities.
• Develop and oversee a culture of integrity and appropriate market conduct, ensuring escalation of issues that could impact customer treatment and firm compliance.
• Partner on regulatory, compliance, and audit requests and reviews of dispensations as required.

People Leadership

• Lead, develop, and mentor direct reports in the US regions, establishing clear reporting lines, responsibilities, and expected knowledge and skills.  Build an empowered, productive team that encourages maximum performance and manages low performance appropriately.
• Frequently review talent potential with succession planning in mind, ensuring direct reports actively manage their objectives and goals.
• Ensure that team members understand RBC's vision, support targeted behaviors that contribute to RBC goals, and receive necessary training and development opportunities.
• Communicate firm policies to your team and monitor adherence, escalating any indications of non-compliance to appropriate risk and control areas.

What do you need to succeed?

Must-have

• Proven experience leading and managing risk and controls or operational risk governance functions in a regulated financial services environment, preferably with responsibility for direct reports.
• Thorough understanding of key operational risks and CM products and business processes.
• Strong knowledge of control frameworks, risk assessment methodologies, and jurisdictional regulatory requirem