Associate director, rbc wealth management canada compliance
4 weeks ago
Starting date : 1 position to fill as soon as possible
Job SummaryEstablishes effective business unit compliance programs to prevent or identify illegal, unethical, or improper business practices. Applies extensive, in-depth knowledge, skills, and practices to perform complex assignments.Job DescriptionWhat is the opportunity?Support RBC Wealth Management (WM) Canada businesses, including RBC Dominion Securities Inc. (Retail), in meeting regulatory and policy requirements, through participation in regulatory change initiatives, internal initiatives and special projects; and through the development and delivery of compliance training.What will you do?Support WM Canada businesses in meeting regulatory obligations and regulatory change requirements, including those of securities regulators (e.g., CIRO, OSC) and prudential regulators (e.g., OSFI).Represent Compliance on regulatory change initiatives, including providing comments to regulators on proposed changes and completing internal assessments. Work with RBC stakeholders to introduce/enhance policies, procedures, client documentation and controls, and associated monitoring processes, to meet requirements.Participate in internal initiatives to ensure regulatory, policy and compliance requirements are met, including in respect of client facing systems and documentation.Design training for, and deliver training to, branch supervisors and employees to ensure compliance with regulatory obligations and RBC policies (e.g., KYC, KYP, suitability, conflicts of interest).Deliver educational programs to business partners, with possible travel within Canada and to the Caribbean.Design training for, and deliver training to, Compliance employees on topics germane to the provision of compliance support to business partners.Provide management with relevant reporting in respect of the above.What do you need to succeed?Must-haveUniversity degree or college diploma.7-10 years work experience in the securities/investment industry.Ability to interpret and apply rules/regulations and internal policies.Ability to develop and deliver training on regulatory obligations and firm policies.Excellent written and oral communication skills. Comfortable speaking in large groups/presenting to large audiences.Willingness and ability to travel locally; and non-locally within Canada/the Caribbean on a limited basis.Nice-to-haveSecurities industry courses, such as the Canadian Securities Course and the Conduct & Practices Handbook.Fluency in French is an asset.Whats 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 SkillsAudits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic ThinkingAdditional Job DetailsAddress:RBC CENTRE, 155 WELLINGTON ST W:TORONTOCity:TORONTOCountry:CanadaWork hours/week:37.5Employment Type:Full timePlatform:Law and ComplianceJob Type:RegularPay Type:SalariedPosted Date:2024-05-01Application Deadline:2024-05-16Inclusion and Equal Opportunity EmploymentAt 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.Join our Talent CommunityStay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
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