Manager, Compliance
Found in: beBee jobs CA - 7 days ago
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 ThinkingAdditional Job Details
Address:
RBC CENTRE, 155 WELLINGTON ST W:TORONTOCity:
TORONTOCountry:
CanadaWork hours/week:
37.5Employment Type:
Full timePlatform:
Law and ComplianceJob Type:
RegularPay Type:
SalariedPosted 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.
Join our Talent Community
Stay 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
-
Manager, Operations and Compliance
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada Robert Walters Full timeOur client is seeking a dedicated and experienced Operation and Compliance Manager to join their dynamic team in Toronto. This role offers an exciting opportunity to support investment operations and compliance within a fast-paced investment management industry. The ideal candidate will be self-motivated, able to work with minimal supervision, and have a...
-
Engineering Manager, Compliance
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada theScore Full timetheScore, a wholly-owned subsidiary of PENN Entertainment , empowers millions of sports fans through its digital media and sports betting products. Its media app 'theScore' is one of the most popular in North America, delivering fans highly personalized live scores, news, stats, and betting information from their favorite teams, leagues, and players....
-
Director of Compliance
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Robert Walters Full timeDirector of Compliance Are you an experienced compliance professional with a passion for the investment management business? Do you have a solid understanding of the rules and regulations governing the industry in Canada and the U.S.? Are you looking for an opportunity to join a small, rapidly growing portfolio manager that serves high-net-worth...
-
Compliance Analyst
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada Royal Bank of Canada Full timeJob SummaryJob DescriptionWhat is the opportunity?As Compliance Analyst, you are accountable for the administration of RBC Enterprise personal trading policy internal control framework with respect to information barriers, personal trading and conflicts of interest. You will conduct monitoring and testing as assigned, identify potential conflicts of interest...
-
Chief Compliance Officer
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada Nest Wealth Full timeWe're building our Nest Where you'll be: Working remotely, anywhere in Canada (in EST)Your Role: Chief Compliance OfficerReporting to: Randy Cass, CEOWho We Are:Founded in 2014, Nest Wealth created Canada's first SaaS-based digital wealth management platform to ensure investors have access to sophisticated, personalized, and transparent wealth management...
-
Compliance Risk Analyst II
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada FIS Global Full timePosition Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor of Business Administration Travel Percentage : 1 - 5%Are you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments company in...
-
Financial Crimes Compliance Officer
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada J.P. Morgan Full timeYou will specifically provide regulatory compliance support to Canada Financial Crimes Compliance in reporting Suspicious Transaction Reports to FINTRAC. The position interfaces Canada Financial Crimes Compliance, GFCC Operations, Wholesale Payments Product and Operations, Commercial Bank and Corporate Investment Bank, Legal, Audit and FINTRAC. Job...
-
Senior Compliance Associate
Found in: Adzuna CA C2 - 7 days ago
Toronto, Ontario, Ontario, Canada Webull Securities Limited Full timeWebull Canada – Toronto Senior Compliance Associate Webull Securities (Canada) Ltd (Webull Canada) will provide a mobile first Order Execution Only retail investing platform. We are looking for a talented financial service Compliance professional in the Toronto area to be part of our growing team. Reporting to the CCO of Webull Canada the Senior...
-
Compliance/Operational Risk Analyst II
Found in: beBee jobs CA - 3 days ago
Toronto, Ontario, Canada FIS Global Full timePosition Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor of Business Administration Travel Percentage : 1 - 5%Are you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments company in...
-
Associate Director, Capital Markets Compliance Advisory
Found in: beBee jobs CA - 5 days ago
Toronto, Ontario, Canada RBC - Royal Bank Full timeJob SummaryJob DescriptionWhat is the opportunity?As Associate Director (AD), you are responsible for Capital Markets Compliance for the Global Equity Sales and Trading, Global Equity Derivatives, and the Wealth Management Agency desks. As a subject matter expert in equity and equity related products, you will be responsible to provide compliance guidance...
-
Sr Analyst, Governance, Risk, and Compliance
Found in: beBee jobs CA - 6 days ago
Toronto, Ontario, Canada Tucows Inc. Full timeTucows (NASDAQ:TCX, TSX:TC) is possibly the biggest Internet company you've never heard of. We started as a simple shareware site in 1993 and have since grown into a stable of businesses: Tucows Domains, Ting Internet and Wavelo.What's next at TucowsWe embrace a people-first philosophy that is rooted in respect, trust, and flexibility. We believe that...
-
Senior Sponsored Awards and Research Compliance Officer
Found in: beBee jobs CA - 5 days ago
Toronto, Ontario, Canada OICR Full timeSalary: Commensurate with level of experienceAbout UsThe Ontario Institute for Cancer Research (OICR) is Ontario's cancer research institute. We bring together people from across the province and around the world to improve the lives of everyone affected by cancer. We take on the biggest challenges in cancer research and deliver real-world solutions to find...
-
Principal, Governance, Legal and Compliance Consulting Practice
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada LifeWorks Inc. Full timeTELUS Health and LifeWorks have recently come together to leverage the power of technology and our caring cultures to further progress our shared goal of building a healthier and friendlier future for all. As a global-leading health and well-being provider - encompassing physical, mental and financial health - TELUS Health is improving health outcomes for...
-
Design Manager
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada Graham Construction & Engineering Inc. Full timeGraham is an employee-owned construction solutions partner that services the buildings, industrial, infrastructure, water and project finance sectors. We deliver lasting value for our clients through meticulous planning and scheduling, while upholding rigorous safety and quality standards. With offices throughout North America, our passionate and...
-
Manager, Fund Finance
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada Robert Walters Full timeOur client is led by experienced leaders who are committed to accountability, intellectual honesty and respect for all partners and stakeholders. They recognise that a diverse team and inclusive environment are vital in contributing to their continued success as an investor and asset manager. They are currently looking to hire a Manager, Fund Finance...
-
Senior Tax Manager
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Cameron Craig Group Full timeSeeking a Senior Tax Manager to join a team in the Greater Toronto area, where you will work in a variety of industries such as investments, high-net-worth individuals, owner-managed businesses, and more. You will be required to complete the necessary forms for clients or for the businesses in which they work while ensuring compliance and advising executive...
-
Finance Manager
Found in: Adzuna CA C2 - 2 days ago
Toronto, Ontario, Ontario, Canada Pivotal Integrated HR Solutions Full timeOur client, a successful not-for-profit company located in Toronto (North York) is currently in need of a Finance Manager to join their team. In this onsite role, you will be direction to your team while also working closely with the CFP Manager to help guide the business and finance. You will hold prior experience in continuous improvement and experience...
-
Dental Office Manager
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada Dentalcorp Canada Full timeAbout us - Riverdale Dental Riverdale Dental is conveniently located in Toronto's robust Gerrard Square Shopping Centre, in a beautiful, modern and clean facility. At Riverdale Dental, our caring and friendly team of dental professionals are proud to offer our Toronto community optimal dental care 7 days a week to accommodate the busy schedules of our...
-
Senior Tax Manager
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Bridgeway Professionals Full timeSeeking a Senior Tax Manager to join a team in the Greater Toronto area, where you will work in a variety of industries such as investments, high-net-worth individuals, owner-managed businesses, and more. You will be required to complete the necessary forms for clients or for the businesses in which they work while ensuring compliance and advising executive...
-
District Manager
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Circle K Full timeKEY RESPONSIBILITIES & ACCOUNTABILITIES: • Prioritize customer service, engagement and expediently resolve escalated customer concerns.• Conduct market meetings, deliver training initiatives and inform store operators of directives.• Supervise store operations, housekeeping, stock levels, and enforce corporate policies and procedures.• Monitor sales,...