Compliance Manager

What is the opportunity?The Compliance Manager is responsible for executing and leading reviews of RBC Wealth Management locations with the objective of evaluating the effectiveness of regulatory & internal policies, operational controls, and regulatory compliance monitoring.What will you do?Plan and execute comprehensive compliance and internal control reviews across various RBC Wealth Management locations.Evaluate the efficacy of operational and compliance controls, providing constructive feedback on policies, procedures, and processes. Report on control weaknesses and compliance risks, offering recommendations to fortify controls, and actively contribute to implementing changes.Assist in crafting management reports, document identified deficiencies, and work with Branch Management to establish required action plans to resolve the deficiencies.Diligently follow up on identified deficiencies to ensure their resolution.Stay abreast of evolving regulatory requirements, internal policies, procedures, and internal control standards.Continuously develop and update audit programs for the associated entities, ensuring alignment with industry standards.Contribute to departmental or divisional projects and initiatives related to risk management, risk assessments, and compliance, as required.Undertake tasks such as scheduling, planning, and executing audits of RBC Wealth Management offices. This includes the preparation of management reports and audit results, and maintaining a risk‑based approach to audits including risk assessments.Play a key role in the development and implementation of audit standards, programs, and prioritization strategies through the identification of systemic risks or compliance issues.Support branch staff in understanding compliance internal controls, policies, and procedures, ensuring that RBC Wealth Management maintains a robust branch review program that exceeds regulatory requirements.What do you need to succeed?Must-haveUniversity or post‑graduate business degreeRelevant securities industry or audit experienceCompletion of CSC and CPHAttention to detail and ability to exercise sound judgement.Team player attitude with strong work ethicLeadership skills — taking initiative, strategic thinking, project managementStrong communication skills and the ability to work under deadlinesExceptional conflict‑management, negotiation and influencing skillsExcellent written and verbal communication skillsWillingness to travel extensively mainly within CanadaMust have a valid driver’s license and have access to a vehicle for local travelNice‑to‑haveAuditing or compliance experienceBranch Manager Course (BMC)/Investment Dealer Supervision Course (IDSC)Fluency in FrenchWhat’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 compensationAbility to make a difference and lasting impactWork in a dynamic, collaborative, progressive, and high‑performing teamOpportunities to take on progressively greater accountabilitiesCompensation for this position (including salary and discretionary/variable payments) will be determined by factors, including but not limited to candidate’s experience, skills, registration status, performance, individual goals, market conditions, and business needs.Pay RangeThe expected pay range for this position is: $67,000 - $90,000.Job SkillsAuditsComplianceCritical ThinkingData Gathering & AnalysisDecision MakingIndustry KnowledgeInternal ControlsInterpersonal Relationship ManagementProduct ServicesRisk ManagementStrategic Thinking #J-18808-Ljbffr