Senior Manager, High Risk Client Management Capital Markets

4 weeks ago

Toronto, Ontario, Canada Royal Bank of Canada Full time

Job Summary

Job Description

What is the opportunity?

This role will support the Global Head and/or Director, High Risk Client Management (HRCM) by providing tactical direction and end-to-end ownership and execution of core risk decisions related to the identification, review, management, and escalation of higher risk clients including the risk assessment and enhanced due diligence (EDD) processes to mitigate against financial, regulatory, reputational, and legal risks at RBC using a risk-based approach. This role also requires the following: maintaining responsibility for the identification, confirmation, management, and approval process for the on-boarding and periodic review and assessment of high risk clients, as required; assisting the Director, HRC in maintaining, creating, and communicating enterprise HRC policies, processes, control standard, guidelines, and risk position papers; and managing a team of approximately 5 to 10 staff.

What will you do?

  • Oversee the prioritization and management of HRC EDD risk assessment workflow for units supported by the HRC Team and ensure that the requirements of the RBC Enterprise AML Client Risk Management Policy (COMP17) and Control Standards (COMP17A) are executed consistently in EDD;
  • Partner with relevant stakeholders to ensure that HRC risk assessments are appropriately coordinated, routed, and escalated where relevant, using a risk-based approach;
  • Responsible for the oversight of timely, accurate, and complete files across the HRC Team, including the consistent and standard use of the case management tool, approval matrix, etc.
  • Responsible for oversight of HRC queues, productivity and ensuring appropriate benchmarks are met. Where challenges exist, ensures performance management of underperforming staff is applied;
  • Create an environment and culture that allows us to attract and retain high performing employees;
  • Help individuals and teams achieve high performance through building capabilities, and effective coaching and performance management;
  • Provide candid and actionable feedback, coaching and development on progress toward goals and behaviours exhibited to achieve outcomes through regular check-ins to support the Growth Mindset, and a focus on living RBC values;
  • Assist the Director, HRC in creating, reviewing, or maintaining HRC policies and procedures;
  • Liaise and partner with the Risk Strategy & Analytics and Program & Innovation Teams, as well as other internal partners to ensure smooth implementation of all process documentation, process improvement changes and any major projects;

What do you need to succeed?

Must have

  • Post-secondary education or equivalent experience
  • 5-7 years of relevant industry experience
  • Strong Financial Crimes, AML/Fraud knowledge to prevent the use for RBC's financial services for money laundering and terrorist financing.
  • Demonstrated knowledge of or experience in financial and money laundering crimes/High Risk Clients/EDD investigations and / or a law enforcement / regulatory background and/or banking background.
  • Standards for knowledge and experience for assigned area of responsibility (for example, Capital Markets, Sectors)

Nice to have

  • CAMS designation
  • CSC or equivalent (for Capital Markets)

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, and stock where applicable
  • Leaders who support your development through coaching and managing opportunities
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • A world-class training program in financial services
  • Flexible work/life balance options
  • Opportunities to do challenging work
  • Opportunities to take on progressively greater accountabilities
  • Opportunities to building close relationships with clients
  • Access to a variety of job opportunities across business and geographies
  • The successful candidate will need to establish and maintain productive working relationships with Advisors and individuals at all levels, both internally and externally.

Job Skills

Anti-Money Laundering (AML), Business Perspective, Communication, Decision Making, Financial Regulation, Interpersonal Relationship Management, Operational Integrity, Organizational Governance, Process Management, Strategic Thinking

Additional Job Details

Address:

20 KING ST W:TORONTO

City:

TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

GROUP RISK MANAGEMENT

Job Type:

Contract (Fixed Term)

Pay Type:

Salaried

Posted Date:

Application Deadline:

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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