Lead, Regulatory and KYC Quality Assurance

3 weeks ago

Toronto, Canada Royal Bank of Canada> Full time

Job Summary

Job Description

What is the opportunity?

Lead, Regulatory and KYC Quality Assurance is responsible for performing quality reviews for onboarding and refresh workstreams within Client Operations, as well as controls testing for KYC/AML processes performed within C&DMG.

What will you do?

  • Perform timely independent quality and oversight reviews for Client Regulatory and KYC Operations, with focus on US Cash Management, Capital Markets and Cross Border Services.

  • Perform timely control reviews for KYC, AML and regulatory processes

  • Provide written and verbal feedback to regional and global leads

  • Evaluate QA results for identification of issues, patterns, trends and opportunities for enhancement of KYC and regulatory onboarding & refresh programmes and processes

  • Assist in production of monthly/quarterly KRI metrics through a  QA Scorecard as well as detailed issue memos

  • Understands and incorporate firm procedures and industry best practices into quality reviews and control reviews.

  • Maintain proficiency on use of the firm’s automated software systems.

  • Assist in identifying any concerns or issues that may arise regarding AML or regulatory issues.

  • Assist in preparing related documentation for upcoming examinations and audits, as requested.

  • Assist other teams within C&DMG, as necessary.

  • Conduct ongoing review of desktop procedures to ensure alignment across regions and to regional/global control standards

  • Ensure that management controls, designed to minimize the operational errors that occur, are in place and working effectively.

  • Develop strategies to alleviate operational issues, promote client satisfaction and/or regulatory issues

  • Track and Report status updates to key stakeholders including CMG Management, Compliance and Front Office.

  • Act as a subject matter expert on regulatory and enterprise policies, procedures related to client and data management

  • Participate in regulatory projects for Capital Markets which come through the Client & Data Management Group

What you need to succeed?

Must-haves

  • Bachelors degree in Accounting, Finance, Economics, Mathematics or a relevant field of study.

  • 3 - 5 years of previous relevant experince.

  • Knowledge of regional laws and regulations related to Anti Money Laundering//Terrorist Financing/Economic Sanctions and Customer Categorization: and

  • Previous experience of working in policy review and business advisory

  • Knowledge of AML, TF and ES regulatory obligations and operational implications

  • Sound written and spoken communication skills

  • Ability to influence and direct internal and external colleagues

  • Good presentation skills: and

  • Good problem solving and analytical skills

Nice-to-have

  • Formal qualification at Graduate or Post Graduate Level

  • Knowledge of products and operations of Capital Markets Investment Banking

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

Job Skills

Business Analytics, Commercial Acumen, Critical Thinking, Customer Analytics, Detail-Oriented, Group Problem Solving, Large Group Presentations, Long Term Planning

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:

Capital Markets

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-04-15

Application Deadline:

2024-04-30

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.

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