Manager Compliance, Regulatory Complaints

**What is your opportunity?**

As a Compliance Manger, you will be a member of the Regulatory Complaint, Investigation & Inquiries (RCII) team that supports Royal Mutual Funds Inc. (RMFI), RBC Dominion Securities (RBC DS) and other RBC registered firms. You will primarily be responsible for complaint management and investigation related to RMFI regulatory complaints.

This role can be based out of Montreal, Toronto or Vancouver.

**Responsibilities include**:

- Investigate regulatory complaints related to failure to follow laws and regulations applicable to Royal Mutual Funds (Canada) Inc. and other RBC registered firms. This includes reviewing and analyzing documentation and evidence to identify non-compliance.
- Gather and evaluate documents, statement of events, and other relevant evidence for investigation.
- Analyze the regulatory requirements, policies and procedures to identify non-compliance.
- Document investigative analysis and findings clearly and concisely, including writing substantive response letters and reporting through the CIRO Complaints and Settlement Reporting System (ComSet)
- Work with Compliance, the branch compliance officers and other internal teams to understand and response to the regulatory complaints and aid in the resolution of complaints.
- Effectively communicate findings, root cause of complaint matters and escalated issues to supervisor and other senior management.
- Track and manage ongoing investigations, ensuring timely resolution and proper documentation.
- Based on findings, make recommendations to prevent future complaints and ensure compliance with applicable laws and regulations.

**What do you need to succeed?**
- University degree
- Experience working in regulatory environment and/or knowledge of concepts relevant for regulatory complaints management
- Excellent written and oral communication skills
- Motivated and can work independently within a team
- Strong organizational abilities
- Ability to deal with new or unfamiliar situations
- Excellent interpersonal skills
- Ability to collaborate and build relationships within RCII, Compliance and business partners
- Proven ability to prioritize and multi-task in a demanding environment
- Bilingualism (English and French) required, as you will regularly serve our clients and do business with RBC partners and/or employees across Canada with English and French speaking needs.

**Nice-to-have**:

- Canadian Securities Course or the IFIC Canadian Investment Funds Course
- Branch Compliance Officers Course

**What’s in it for you?**

We thrive on the challenge to be our best, thinking progressively 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
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Work in an agile, collaborative, progressive, and high-performing team
- The opportunity to interface with executives from many different parts of the organization

**Job Skills**

**Additional Job Details**

**Address**:
RBC CENTRE, 155 WELLINGTON ST W:TORONTO

**City**:
Toronto

**Country**:
Canada

**Work hours/week**:
37.5

**Employment Type**:
Full time

**Platform**:
CHIEF LEGAL & ADMIN OFFICE GRP

**Job Type**:
Regular

**Pay Type**:
Salaried

**Posted Date**:
2025-10-24

**Application Deadline**:
2025-11-08

**I**nclusion** and Equal Opportunity Employment**

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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