Director, Wealth Management Canada Compliance

Overview What is your opportunity? As Director, RBC Wealth Management Canada Compliance, you will play a key leadership role in support of the RBC Dominion Securities Inc. (Retail) (RBC DS) business, Canada’s largest investment dealer and wealth management firm. You will be responsible for a broad mandate, which includes: people management, advisory inquiries, complaint handling, regulatory change management, monitoring, internal and external audits, policies and procedures and compliance training. What is your opportunity?

As Director, RBC Wealth Management Canada Compliance, you will play a key leadership role in support of the RBC Dominion Securities Inc. (Retail) (RBC DS) business, Canada’s largest investment dealer and wealth management firm. You will be responsible for a broad mandate, which includes: people management, advisory inquiries, complaint handling, regulatory change management, monitoring, internal and external audits, policies and procedures and compliance training. What will you do? Manage a team of Compliance Managers who support RBC DS branches across the country.

Address and provide support in respect of client complaints as required; and support internal and external investigations. Act as the key Compliance representative on significant regulatory changes that impact RBC DS (e.g., CIRO, CSA): Review, interpret and apply rules and rule amendments; provide comments on proposed rules/amendments and consultations; participate in industry working groups; and complete gap assessments against new and amended requirements. Respond and act as an escalation point as needed to routine and novel/complex inquiries from the RBC DS branch network. Regulatory Compliance Management responsibilities, including issue oversight and monitoring activities.

Support the RBC DS Chief Compliance Officer on internal and external regulatory audits. Support policy updates to ensure they reflect regulatory requirements and internal processes. Provide support to other Compliance team members, including RBC Wealth Management Financial Services Compliance, RBC DS Global (Caribbean) Compliance, the Branch Audit Team and Regulatory Complaints, Inquiries and Investigations. Provide training on policy and regulatory obligations, to Compliance team members and business partners, as well as other stakeholders.

What do you need to succeed? Demonstrated expertise and knowledge of the securities industry, compliance practices and legal and regulatory requirements. 10+ years of relevant experience (e.g., financial services, full-service brokerage, wealth management, securities regulatory). University degree (preference in business, finance, economics, law, accounting). Demonstrated ability to manage conflict, negotiate and influence decision making when dealing with staff, business partners and key stakeholders.

Ability to effectively manage projects and identify where efficiencies can be realized. Proven leadership in managing people, projects and establishing policies and procedures. Effective at delivering on short-term priorities while maintaining a long-term focus. Excellent written and oral communication skills, including public speaking.

Adaptive to driving and responding to change management. Nice-to-have Completion of industry related education Fluency in French is an asset 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 Audits, Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, 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 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. Join our Talent Community.

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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. #J-18808-Ljbffr