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Senior Manager, Regulatory Compliance Specialist

2 months ago

Toronto, Ontario, Canada Royal Bank of Canada Full time
Job Summary

Job Description

Opportunity Overview

Reporting to the Director, Regulatory Compliance, Integration Compliance and Operations (ICO) team, this role will primarily support the identification and mitigation of Technology Infrastructure regulatory risk and compliance operational issues and will also assist in the maintenance of operational and key control procedures.

Key Responsibilities
  • Maintaining a thorough understanding of RBC and CNB's EOL Policy and internal Standards, related Regulatory and industry compliance standards.
  • Support the creation and maintenance of the departmental Regulatory Compliance Program, including process documentation, metrics, etc.
  • Perform complex internal control monitoring and testing for End-of-Life across Technology Platforms & Risk Management department, supporting various infrastructure technologies/ domains (hosting, network, middle tier, end user, cloud, service management) while adhering to an established schedule.
  • Participate in all phases of the internal control monitoring process including planning, testing, evaluating risk, identifying mitigating controls, developing conclusions, writing reports, and maintaining work papers.
  • Championing a thorough understanding of RBC's Internal Controls Management Policy and control testing methodologies.
Key Deliverables
  • Responsible for supporting the creation of enterprise controls, processes and testing methodologies that evaluate the design and operating effectiveness of first line Key Controls.
  • Develop robust and scalable testing modules, scripts, and other guides including testing approach and scoping/sampling for evaluating the effectiveness of RBC and CNB's first line Key Controls to mitigate key risk exposures related to regulatory requirements.
  • Assist in developing deliverables for regulatory remediation workstreams, including but not limited to narratives, flowcharts, RACIs, RCMs, etc.
  • Assess residual risk within subject specialty area (hosting, network, middle tier, end user, cloud, service management) to evaluate the design and effectiveness of security controls.
  • Exhibit high attention to detail and strategic thinking in analyzing, aggregating, and articulating the results/issues of control testing activities and value-add opportunities for improvement of Key Controls to Director of Regulatory Compliance and other stakeholders as needed.
  • Maintain current knowledge of legislative developments, Country and associated Federal laws and regulations as well as regulatory guidance and industry best practices.
Requirements
  • Bachelor's Degree or equivalent experience.
  • 7-10 years' experience working in large IT organizations.
  • 7-10 years' experience in regulatory, compliance and infrastructure technologies.
  • Experience delivering and managing responses to regulators.
  • Formal Regulatory Response-Writing Training.
Preferred Qualifications
  • Experience in tracking and coordinating large and complex projects. Strong organizational/time management skills and multi-tasking abilities.
  • Strong critical thinking, problem-solving and creative skills. Excellent communication and interpersonal skills.
  • Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations.
  • Ability to manage numerous tasks and projects simultaneously and prioritize work in a highly deadline-intensive environment, while dealing with ambiguity.