Manager, Compliance

3 weeks ago

Toronto, Canada Royal Bank of Canada Full time

**Come Work with Us**

At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.

Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.

**Job Title**

Manager, Compliance

**What is the opportunity?**

The Branch Review Associate is responsible for leading and executing reviews of RBC Wealth Management locations and certain head office functions with the objective of evaluating the effectiveness of regulatory & internal policies, operational controls, and compliance monitoring.

**What will you do?**
- Plan and execute internal control and compliance reviews of RBC Wealth Management locations
- Evaluate effectiveness of operational and compliance controls within RBC Wealth Management locations and provide feedback to businesses on policies, procedures, and processes, including reporting on control weaknesses and compliance risks; making recommendations to strengthen controls and compliance; and acting as a resource in implementing change
- Assist in the preparation management reports of audit results and follow up issues identified to ensure that all audit findings are resolved
- Keeping abreast of new regulatory requirements, new internal policies and procedures and new internal control requirements.
- Continuously develop and update audit programs for the business units
- Assist with department or divisional projects and new initiatives related to risk management and compliance as required
- Tasks would include, scheduling, planning, and executing audits of RBC Wealth Management offices and certain head office functions including preparation of management reports and audit results and developing and maintaining risk-based approach to audits including risk ranking of branches.
- The position will also be required to assist in the developing and implementing of audit standards, audit programs, prioritizing audits, researching issues, identifying systemic risk or compliance issues.
- Assist branch staff in the understanding of compliance internal controls, policies and procedures where applicable the position is responsible for assisting in ensuring RBC Wealth Management has a robust branch review program that meets and exceeds regulatory requirements.
- Continue to develop and maintain risk-based approach to branch reviews relating to compliance and internal control testing, ensuring appropriate number of branches are reviewed in each fiscal year

**What do you need to succeed?**

**Must-have**
- University or post-graduate business degree
- Relevant securities industry experience
- Good knowledge of securities industry - completion of CSC and CPH preferred
- Team player attitude with strong work ethic
- Leadership skills
- taking initiative, strategic thinking
- Strong communication skills
- Exceptional conflict management, negotiation and influencing skills
- Excellent written and verbal communication skills
- Willingness to travel extensively mainly within Canada
- Must have a valid driver’s license and have access to a vehicle for local travel

**Nice-to-have**
- Auditing experience
- Fluency in French

**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
- Ability to make a difference and lasting impact
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to take on progressively greater accountabilities

**Job Summary**

**Address**:
TORONTO, Ontario, Canada

**City**:
CAN-ON-TORONTO

**Country**:
Canada

**Work hours/week**:
37.5

**Employment Type**:
Full time

**Platform**:
Group Risk Management

**Job Type**:
Regular

**Pay Type**:
Salaried

**Posted Date**:
2023-06-07

**Application Deadline**:
2023-06-22

**I**nclusion** 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.

**Join our Talent Community**

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