Manager, Compliance

Found in: Talent CA C2 - 2 weeks ago

Toronto, Canada Royal Bank of Canada> Full time

Job Summary

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

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:

Law and Compliance

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-04-08

Application Deadline:

2024-04-23

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
​​​​​​​
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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 jobs.rbc.com.

  • Compliance Manager

    16 hours ago

    Toronto, Canada BMW Full time

    KNOW THE RULES. ENABLE OPPORTUNITIES. SHARE YOUR PASSION. Few, if any, automobile manufacturers have a distinct, continuous character and a consistent personality. BMW does. At BMW we are always striving, working, empowering, changing, creating and thinking. Our culture allows us to translate passion into energy, empowerment into innovative ideas and high...

  • Compliance Manager

    Found in: Talent CA C2 - 1 week ago

    Toronto, Canada Capital Group Full time

    Role summary: Manages day-to-day activities and operations for a team of associates within the Legal and Compliance group. Manages, coaches and oversees the performance and development of a team of associates. Anticipates future business needs and identifies opportunities to enhance Legal and Compliance’s services. Uses professional concepts, business...

  • Compliance Manager

    2 days ago

    Toronto, Canada Sun Life Full time

    You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll...

  • Manager, Compliance

    2 days ago

    Toronto, Canada Royal Bank of Canada Full time

    **Come Work with Us!** At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose. Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work...

  • Manager, Compliance

    Found in: beBee S CA - 2 weeks ago

    Toronto, Canada RBC - Royal Bank Full time

    Job SummaryJob DescriptionWhat 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...

  • Manager, Compliance

    Found in: beBee S CA - 2 weeks ago

    TORONTO, Canada Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat 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...

  • Manager, Compliance

    Found in: beBee jobs CA - 1 week ago

    Toronto, Ontario, Canada RBC - Royal Bank Full time

    Job SummaryJob DescriptionWhat is the opportunity?To provide compliance support and advice to the Wealth Management Canada business, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA and RBC Royal Trust, including drafting policies and procedures, producing reports for senior management and the board of directors and...

  • Manager, Compliance

    Found in: beBee S CA - 2 weeks ago

    TORONTO, Canada Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat is the opportunity?To provide compliance support and advice to the Wealth Management Canada business, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA and RBC Royal Trust, including drafting policies and procedures, producing reports for senior management and the board of directors and...

  • Manager, Compliance

    Found in: beBee S CA - 2 weeks ago

    Toronto, Canada RBC - Royal Bank Full time

    Job SummaryJob DescriptionWhat is the opportunity?To provide compliance support and advice to the Wealth Management Canada business, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA and RBC Royal Trust, including drafting policies and procedures, producing reports for senior management and the board of directors and...

  • Manager, Compliance

    7 days ago

    Old Toronto, Canada Royal Bank of Canada Full time

    Job Summary Job Description What is the opportunity? To provide compliance support and advice to the Wealth Management Canada business, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA and RBC Royal Trust, including drafting policies and procedures, producing reports for senior management and the board of directors and...

  • Manager, Compliance

    2 weeks ago

    Old Toronto, Canada Royal Bank of Canada Full time

    Job Summary Job Description What is the opportunity? To provide compliance support and advice to the Wealth Management Canada business, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA and RBC Royal Trust, including drafting policies and procedures, producing reports for senior management and the board of directors and...

  • Manager, Compliance

    7 days ago

    Old Toronto, Canada Royal Bank of Canada Full time

    Job Summary Job Description What is the opportunity? To provide compliance support and advice to the Wealth Management Canada business, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA and RBC Royal Trust, including drafting policies and procedures, producing reports for senior management and the board of directors and...

  • Regulatory Compliance Manager

    2 days ago

    Toronto, Canada Fidelity Investments Full time

    Job Description This is a hybrid role with a mix of remote and in-office working - Current work authorization for Canada is required for all openings._ Who We Are At Fidelity, we’ve been helping Canadian investors build better financial futures for over 35 years. We offer individuals and institutions a range of trusted investment portfolios and services...

  • Manager, Pcg Compliance

    1 day ago

    Toronto, Canada Raymond James Financial Full time

    **Manager, PCG Compliance** - 2300960 **Job Summary** Raymond James Ltd. is seeking a Manager, Private Client Group (PCG) Compliance. Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs. Drawing on industry...

  • Manager, Compliance

    Found in: Jooble CA O C2 - 1 week ago

    Toronto, ON, Canada Royal Bank of Canada Full time

    Job Summary Job Description What is the opportunity? To provide compliance support and advice to the Wealth Management Canada business, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA and RBC Royal Trust, including drafting policies and procedures, producing reports for senior management and the board of...

  • Manager, Policy

    Found in: Talent CA C2 - 2 weeks ago

    Toronto, Canada Definity Full time

    Job Description The Governance department is a Line 1B function supporting the Personal Insurance and Claims business units’ Three Lines of Defense. Reporting to the Director, Control Validation & Compliance, the Manager, Policy & Compliance will have accountability for the design, implementation, and management of the Policy and...

  • Regulatory Compliance Manager

    7 days ago

    Toronto, Canada PayFacto Full time

    We are currently looking for a Regulatory Compliance Manager to join our team! **Responsibilities**: - Develop and implement AML, compliance, and risk management policies and procedures in accordance with Canadian and US regulations and industry best practices. - Conduct risk assessments to identify potential areas of concern and develop strategies to...

  • Manager of Compliance

    3 days ago

    Toronto, Canada Humans of HR Full time

    Introducing Humans of HR, a boutique recruitment agency rapidly establishing itself as the premier choice for sourcing and placing highly skilled Professionals. With an expansive network and an unwavering commitment to customer satisfaction, we stand out as the definitive partner in guiding you towards your next career milestone. Reporting to the Head of...

  • Manager of Compliance

    3 days ago

    Toronto, Canada Humans of HR Full time

    Introducing Humans of HR, a boutique recruitment agency rapidly establishing itself as the premier choice for sourcing and placing highly skilled Professionals. With an expansive network and an unwavering commitment to customer satisfaction, we stand out as the definitive partner in guiding you towards your next career milestone. Reporting to the Head of...

  • Manager of Compliance

    4 days ago

    Toronto, Canada Humans of HR Full time

    Introducing Humans of HR, a boutique recruitment agency rapidly establishing itself as the premier choice for sourcing and placing highly skilled Professionals. With an expansive network and an unwavering commitment to customer satisfaction, we stand out as the definitive partner in guiding you towards your next career milestone. Reporting to the Head of...