Senior Manager, Quality Assurance Review

Job Summary

To support the execution of Enterprise Compliance function’s oversight over the Regulatory Compliance Management Reliance Model (RCM RM) through the maintenance and ongoing enhancements of the RM Review Program, which includes periodic quality assurance reviews (QARs), annual attestations, ongoing issues management and reporting.

• As part of the Enterprise Compliance RCM Quality Assurance Review Team, the role also supports the Global Chief Compliance Officer’s report to the Audit Committee regarding RBC’s overall state of compliance.

Job Description

What is the opportunity?

As part of the Enterprise Compliance RCM Quality Assurance Review Team, this role supports the Global Chief Compliance Officer’s report to the Audit Committee regarding RBC’s overall state of compliance.

What will you do?

Plan & perform individual QARs for in-scope RM risk areas pursuant to the approved annual program plan;

Prepare QAR reports for individual reviews that explain how the review was conducted and what findings resulted from the work performed, and share these reports with the stakeholders associated with each review; and

Assist RM function teams in understanding QAR results and findings, and how to remediate / correct practices.

Provide secondary review of QAR files completed by the Manager, RCM QAR.

Facilitate the RM annual attestation process, including engagement of RM functions, sample review of completed attestations and maintenance of the supporting tool.

Manage the issues identified by the RM Review Program, including the required data input into RegComp, ongoing monitoring of issues status and validation of remediation activities, following the enterprise Regulatory Compliance Issues Management Process.

Update RCM ratings for RM functions on a quarterly basis, based on results of QARs and progress of issues remediation.

Provide inputs into quarterly QAR Reporting to Compliance Executives and present on results as required; in addition, contribute RM content to the Quarterly Global CCO Opinion Report and Compliance reports to RM functions’ operating committees.

Support the ongoing development and maintenance of the RM Review Guideline and annual review plans.

Leverage best practices identified in reviews performed to drive continuous improvement in the overall RM, and the QAR Program.

What do you need to succeed?

Must-have

Experience with conducting quality assurance reviews, particularly in a risk management / compliance context.

Good understanding of RBC corporate areas and related regulatory landscape.

Understanding of / experience in RCM regulatory requirements and related methodologies

Relevant Compliance experience overseeing Reliance Model or in risk / audit / consulting services.

Experience of working in close partnership with stakeholders at various levels.

Experience leading a team.

Nice-to-have

Certified audit / compliance / risk management professional

What’s in it for you?

We thrive on the challenge to be our best, thinking progressively 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.

Leaders who support your development through coaching and managing opportunities

Ability to make a difference and lasting impact

Work in an agile, collaborative, progressive, and high-performing team

The opportunity to interface with executives from many different parts of the organization

Job Skills

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

Additional Job Details

Address :

RBC CENTRE, 155 WELLINGTON ST W : TORONTO

City : TORONTO

Country : Canada

Work hours / week : 37.5

Employment Type : Full time

Platform :

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type :

Contract (Fixed Term)

Pay Type : Salaried

Posted Date : 2024-12-17

Application Deadline :

2025-01-04

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

I nclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.

We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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