Compliance Manager

Job Description
What is the opportunity?
The Compliance Manager is responsible for executing and leading reviews of RBC Wealth Management locations with the objective of evaluating the effectiveness of regulatory & internal policies, operational controls, and regulatory compliance monitoring.

What will you do?

• Plan and execute comprehensive compliance and internal control reviews across various RBC Wealth Management locations.
• Evaluate the efficacy of operational and compliance controls, providing constructive feedback on policies, procedures, and processes. Report on control weaknesses and compliance risks, offering recommendations to fortify controls, and actively contribute to implementing changes.
• Assist in crafting management reports, document identified deficiencies, and work with Branch Management to establish required actions plans to resolve the deficiencies.
• Diligently follow up on identified deficiencies to ensure their resolution.
• Stay abreast of evolving regulatory requirements, internal policies, procedures, and internal control standards.
• Continuously develop and update audit programs for the associated entities, ensuring alignment with industry standards
• Contribute to departmental or divisional projects and initiatives related to risk management, risk assessments, and compliance, as required.
• Undertake tasks such as scheduling, planning, and executing audits of RBC Wealth Management offices. This includes the preparation of management reports and audit results, and maintaining a risk-based approach to audits including risk assessments.
• Play a key role in the development and implementation of audit standards, programs, and prioritization strategies though the identification of systemic risks or compliance issues.
• Support branch staff in understanding compliance internal controls, policies, and procedures, ensuring that RBC Wealth Management maintains a robust branch review program that exceeds regulatory requirements.

**What do you need to succeed?

Must-have**

• University or post-graduate business degree
• Relevant securities industry or audit experience
• Completion of CSC and CPH
• Attention to detail and ability to exercise sound judgement.
• Team player attitude with strong work ethic
• Leadership skills– taking initiative, strategic thinking, project management
• Strong communication skills and the ability to work under deadlines
• 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 or compliance experience
• Branch Manager Course (BMC)/Investment Dealer Supervision Course (IDSC)
• 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

Compensation for this position (including salary and discretionary/variable payments) will be determined by factors, including but not limited to candidate's experience, skills, registration status, performance, individual goals, market conditions, and business needs.

Pay Range

The expected pay range for this position is: $67,000 - $90,000.

The pay range provided is for the primary work location referenced in the Additional Job Details section of this job posting. Pay ranges may differ based on location. If the posting lists multiple job locations, a recruiter can confirm availability of the role and the relevant pay range for the additional locations listed. RBC supports pay transparency and we strive to ensure all pay ranges are competitive, fair, and equitable.

You have the potential to earn RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

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:

Application Deadline:

Note
:
Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
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.

Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.

Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.