Associate, Documentation

2 weeks ago

Guelph, 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**

Associate, Documentation & Compliance

**What is the opportunity?**

If you want to jump into an entrepreneurial environment, work on complex solutions for high net worth clients, and get exposed to some of the most experienced Associates, Advisors, and Financial Planners in the country, then you should definitely read on

The Elinesky Schuett Private Wealth team of RBC Dominion Securities (Elinesky Schuett) is one the largest and fastest growing advisor teams in the country. Our mission is to make lives better through a people-first approach to wealth management and our goal is to be the premier wealth service provider in the region to high net worth individuals by delivering a world class investment management, wealth management, and client service experience.

**The role**

The Documentation & Compliance Associate works closely with other Associates to lead, organize, and manage all large documentation and compliance efforts across the entire business. The role partners with another D&C Associate to manage all day-to-day account opening for simple and complex account types, will liaise with head office to research and recommend solutions on complex client scenarios, and will also build and present customized reporting on key account opening and compliance metrics to visualize trends and to drive action at a team level.

**What will you do?**
- STREAMLINE ACCOUNT OPENING AND CLIENT ONBOARDING - be the in-house champion for our account opening process for personal registered and non-registered accounts, corporate accounts, estates, pledge accounts, charitable foundations, guardianships, and individual pension plans, and other account types as applicable and partner with the Associate team to deliver a world class onboarding experience, in-person and digitally
- PROACTIVELY ENSURE OUR TEAM IS 100% COMPLIANT - ensure that all team, clients and account documentation are 100% compliant with internal controls and regulatory requirements throughout the year
- BUILD STRATEGIC REPORTING - own all account opening and compliance data and build strategic reporting to visualize trends, support quick progress updates, flag any risk areas, and to drive proactive team action wherever needed to protect service level commitments and compliance
- EXTREME OWNERSHIP OVER COMPLEX CLIENT SOLUTIONS - liaise with head office to research complex scenarios, recommend and execute solutions, and share best practices openly with team to cross-train and elevate their service knowledge
- FLOATING RESOURCE FOR ASSOCIATE TEAM - during peak periods, support day to day client requests, account administration, and other special projects as needed
- Promote and support a work environment that inspires innovation, creativity, collaboration and diversity

**What do you need to succeed?**

**Must-have**
- 3+ years as an Associate
- Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH)
- Meticulous attention to detail, strong organizational skills, and excellent time management
- Demonstrated professionalism and ability to manage highly confidential information
- Exceptional verbal and written communication skills - you have the ability to communicate with individuals at all levels and from various backgrounds, with confidence and grace

**Nice-to-have**
- Specific experience with RBC Dominion Securities and its software products
- Experience with Sales Force or other Customer Relationship Management (CRM) software
- Strong proficiency in Microsoft Office Products: Outlook, Word, PowerPoint, Excel, etc.
- Demonstrated experience and confidence researching issues, liaising with head office and handling complex client requests

**What’s in it for you?**

Elinesky Schuett attributes its growth and the success of its service offering on its people. We strive to attract and retain exceptional individuals by nurturing a diverse, equitable, and inclusive environment that is well-resourced, experienced, and engaged for career growth and personal development without compromising on competitive compensation, life-work balance, and service impact beyond the business. While working on our mission, some of the benefits our team members enjoy are:

- Competitive base salary and variable performance bonuses
- Comprehensive health benefits, matching employee savings programs, and participation in the RBC Pension program
- A world-class training program in financial services
- Competitive team and office perks including strong vacation, personal, sick, a

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