Associate Director, WM Compliance Advisory Team

Job Description

What is your opportunity?

As Associate Director, Compliance, you will provide support to the Wealth Management Canada business, including DS Retail, in relation to branch network inquiries and escalations and the resolution of client complaints, with a view to mitigating civil, regulatory and reputational risk for RBC.  Additionally, you will assist with special initiatives and projects as needed to respond to internal requests and regulatory changes and focus areas. 

What will you do?

• Act as the lead DS Compliance support for Quebec.  This includes being the key contact for Branch Managers and Investment Advisors.

• Provide advisory support to the branch network, including by responding to routine and complex inquiries and escalations.  Assist with the complaint review, resolution and escalation process for French language reportable complaints, ensuring compliance with CIRO and AMF rules. 

• Acting as the primary support for French language/AMF regulatory projects, deliverables and initiatives.

• Dealing with "non-routine matters" including certain client escalations.

• As needed, assist with monitoring activities for the DS Retail business. 

• Provide support for regulatory initiatives, participate in internal working groups, and ad hoc projects as required.

• Act as primary backup for the review and approval of uncovered options trading requests.

What do you need to succeed?

• 7+ years of progressive experience in the financial services business

• Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements

• Ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and other key stakeholders.

• Strategic mindset, ability to work well within a team, strong interpersonal skills and a strong client service focus.

• Excellent verbal communication skills and ability to communicate clearly and effectively in writing.

• 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.

• 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

• 5+ years of experience with wealth management/full-service brokerage

• 2+ years of Compliance experience with a CIRO dealer member

• Canadian Securities Course, Conduct and Practices Handbook Course, Derivatives Fundamentals Course, Options Licensing Course, Options Supervisor Course, Chief 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

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

Inclusion 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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