Associate Director, RBC Wealth Management Canada Compliance

4 weeks ago

Toronto, Ontario, Canada RBC - Royal Bank Full time

Job Summary

Establishes 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 Description

What 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-have

  • University 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-have

  • Securities industry courses, such as the Canadian Securities Course and the Conduct & Practices Handbook.
  • Fluency in French is an asset.

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, 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:

Law and Compliance

Job Type:

Regular

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.
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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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