Manager, Compliance

Job Summary

Job Description

What is the opportunity?

To provide compliance support and advice to the Wealth Management Canada business, including RBC Dominion Securities Inc.

and RBC Wealth Management Financial Services Inc., including responding to inquiries from the branch network and addressing client complaints, with a view to mitigating civil, regulatory and reputational risk for RBC.

Additionally, to assist with regulatory and internal initiatives and projects as needed. French fluency is strongly preferred.

What will you do?

• Provide advisory support to the branch network, including by responding to routine and complex inquiries.
• Assist with the complaint review, resolution and escalation process, ensuring compliance with CIRO rules.
• Support Chief Compliance Officers, Directors and Senior Managers with special projects, policy updates and regulatory-driven initiatives.
• Assist with regulatory requests (e.g., requests for information, investigations).
• Assist with Regulatory Compliance Management (RCM) program, including monitoring of controls.
• Support the Outside Activity (OA) review process, particularly where novel or complex OAs are involved.
• Draft communications, memorandums, new and amended policies, presentations, and correspondence with clients (e.g., complaint response letters).
• Develop and deliver training to the business.

What do you need to succeed?

Must-have

Knowledge of the securities / investment or financial services industry, compliance practices and legal and regulatory requirements.

Experience with wealth management / full-service brokerage desirable.

• Ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and other key stakeholders.
• Strategic mindset, ability to work well within a team, strong interpersonal skills and a strong client service focus.
• Excellent verbal and written communication skills.
• Effective at time-management, prioritization and delivering on short-term priorities while maintaining a long-term focus;

and ability to both respond to and drive change management.

• 7+ years' experience in the financial services business, preferably with 2+ of those years being progressive investment industry experience with a focus on full-service brokerages.
• University degree (preference in business, finance, economics, law, or accounting).

Nice-to-have

• Completion of industry related education (e.g., CSC and CPH)
• French fluency is strongly preferred (both verbal and written)

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 including bonuses and flexible benefits, competitive compensation, commissions.
• Leaders who support your development through coaching and managing opportunities.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Flexible work / life balance options.
• Opportunities to do challenging work.
• Opportunities to take on progressively greater accountabilities.
• Access to a variety of job opportunities across business and geographies.

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking