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Associate, Controls Management

4 weeks ago

Toronto, Ontario, Canada RBC Full time

Job Description

What is the opportunity?

As a member of the Capital Markets (CM) Operational Risk Controls & Governance (ORC&G) group, the incumbent will be responsible for supporting controls and issues management across Capital Markets, governance/reporting of control assessment outputs and conclusions, and assisting management as required in the implementation and continuous enhancement of the firm's operational risk framework and activities.

What will you do?

Risk/Control Assessment and Oversight:

  • Advise on design effectiveness assessments and operating effectiveness assessments for Capital Markets Controls;

  • Conclude on the overall effectiveness of Controls and reporting results to Control Owners;

  • Conduct root cause analysis of control gaps identified in testing, including issuing memos with observations, findings, and/or issues to Control Owners;

  • Assess and document planned control remediation (issue creation, documentation and closure);

  • Maintain CM Control Inventories (Key and non-Key);

  • Prepare CM Controls reporting for controls testing and control effectiveness for senior management

  • Serve as primary liaison between first line of defence and second/third line functions for control management activities.

  • Provide feedback and opportunities for improvements on the design and/or operating effectiveness to the Control Owner, where appropriate, in accordance with the ICMP and RCM Program;

  • In accordance with the RBC Internal Controls Management Policy (ICMP), CM Controls Management Procedure, Regulatory Compliance Management (RCM) Program and Risk & Control Self-Assessment (RCSA) Standards, provide guidance to control owners on effective control assurance activities;

  • Act as a conduit between Risk and Control Owners in order to deliver appropriate communication around Control Assurance in support of the operational risk profile;

  • Working closely with the RCSA Facilitation teams, ensure reporting of control monitoring is reflected appropriately in residual risk assessments aligned to business areas; and

  • Proactive review of key processes and associated risks;

Change Management:

  • Support ORC&G through participation in projects to review and implement new enterprise policies that impact Capital Markets which may include assisting in the establishment of procedures/guidelines, liaising with internal and/or external parties to understand requirements and define parameters;

  • Liaising with the appropriate Centre of Governance (CoG) groups to provide input into the development of new/changed enterprise policies, clarifying proposed requirements in order to initiate discussions with the in-scope business units to assess the impact on the CM business processes and controls.

What you need to succeed?

  • Bachelor's degree in Computer Science, Business Administration or Finance preferred

  • 3 - 5 years of experience in Internal Controls Management and / or managing operational risk.

  • Strong analytical skill and experience;

  • Strong presentation, communication (verbal and written), and interpersonal skills;

  • Good knowledge of operational risk management best practices for Capital Markets products;

  • Good knowledge of Capital Markets products, with particular emphasis on the control environment as it relates to Front Office, Operations, financial and management reporting, market/credit risk and compliance monitoring;

  • General IT awareness;

  • Previous Capital Markets FO, functions and/or Audit/Compliance/Risk Management experience is an asset;

  • Ability to work independently and/or in groups;

  • Strong project and time-management skills;

  • Ability to learn quickly and balance a diverse set of tasks/priorities.

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

  • Leaders who support your development through coaching and managing opportunities 

  • Work in a dynamic, collaborative, progressive, and high-performing team

  • Opportunities to do challenging work

  • Flexible work/life balance options

#LI-KA2

Job Skills

Auditing, Audits Compliance, Data Gathering Analysis, Decision Making, Ethical Business, Fraud Management, Internal Controls, Interpersonal Relationship Management, Results-Oriented, Risk Management

Additional Job Details

Address:

ROYAL BANK PLAZA, 200 BAY ST:TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

Employment Type:

Full time

Platform:

CAPITAL MARKETS

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

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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