Manager, Compliance

3 weeks ago

Toronto ON, Canada Royal Bank of Canada Full time

Job Summary

Job Description

What is the opportunity?

To provide compliance support and advice to the Wealth Management Canada business, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA and RBC Royal Trust, including drafting policies and procedures, producing reports for senior management and the board of directors and responding to inquiries from the branch network, with a view to mitigating civil, regulatory and reputational risk for RBC. Additionally, to assist with regulatory and internal initiatives and projects as needed.

What will you do?

  • Draft and amend policies and procedures and participate in enterprise-wide policy initiatives.
  • Support Chief Compliance Officers, Directors and Senior Managers with special projects, policy updates and regulatory-driven initiatives.
  • Provide advisory support to the branch network, including by responding to routine and complex inquiries.
  • Draft communications, memorandums, presentations, and reports to senior management and the board of directors.
  • Develop and deliver training to the business.
  • Assist with regulatory requests (e.g., requests for information, investigations).
  • Assist with Regulatory Compliance Management (RCM) program, including monitoring of controls.
What do you need to succeed?

Must-have:
  • Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements backed by 7+ years’ experience in the securities/investment or financial services business, preferably with 2+ of those years being focusing on portfolio managers and/or trust companies.
  • Strategic mindset, ability to work well within a team, ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and key stakeholders, 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.
  • University degree (preference in business, finance, economics, law, or accounting).
Nice-to-have
  • Completion of industry related education (e.g., CSC, CPH and/or TEP)
  • French fluency is an asset (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, and competitive compensation.
  • Leaders who support your development through coaching and managing opportunities
  • Ability to make a difference and lasting impact.
  • Flexible work/life balance options
Job Skills Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, 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: Law and Compliance

Job Type: Regular

Pay Type: Salaried

Posted Date: 2024-04-05

Application Deadline: 2024-04-19

Inclusion 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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