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Manager, Compliance

4 months 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?**

To provide compliance support and advice to the Wealth Management Canada business, including, RBC Dominion Securities Inc., RBC Wealth Management Financial Services Inc., RBC Direct Investing (DI), and InvestEase (IE), including in relation to inquiries from the branch network and the resolution of client complaints, with a view to mitigating civil, regulatory and reputational risk for RBC. Additionally, to assist with special initiatives and projects as needed to respond to internal requests and regulatory changes and focus areas.

**What will you do?**
- Provide advisory support to branch network and DI/IE, including by responding to routine and complex inquiries.
- Assist with the complaint review, resolution and escalation process, ensuring compliance with IIROC/new SRO rules.
- Support Chief Compliance Officer, Directors and Senior Managers with special projects, policy updates and regulatory-driven initiatives.
- Assist with any regulatory requests (e.g. investigations).
- Assist with Regulatory Compliance Management (RCM) Monitoring and Testing program.
- Support the Outside Activity (OA) review process, particularly where novel or complex OBAs are involved.
- Draft communications, memorandums, new and amended policies, presentations and correspondence with clients (e.g. complaint response letters).
- Assist with the development and delivery of training to the business.

**What do you need to succeed?**

**Must-have**
- Excellent verbal and written skills in English and French.
- 7+ years’ experience in the financial services business, preferably with 2+ of those years being progressive investment industry experience with a focus on full service brokerages.
- University degree (preference in business, finance, economics, law, or accounting)
- Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements. Experience with wealth management/full service brokerage desirable.
- Ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and other key stakeholders.
- Effective at time-management, multi-tasking and delivering on short-term priorities while maintaining a long-term focus; and ability to both respond to and drive change management.

**Nice-to-have**

Completion of industry related education (CSC and CPH)

**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
- Opportunities to do challenging work

**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**:
2023-03-16

**Application Deadline**:
2023-03-31

**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.

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