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 that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.

Job Title

Manager, Compliance

Job Description

What is the opportunity?

To provide compliance support and advice to the Wealth Management Canada business, including, RBC Dominion Securities Inc., RBC Wealth Management Financial Services Inc., RBC Direct Investing (DI), and InvestEase (IE), including in relation to inquiries from the branch network and the resolution of client complaints, with a view to mitigating civil, regulatory and reputational risk for RBC. Additionally, to assist with special initiatives and... projects as needed to respond to internal requests and regulatory changes and focus areas.

What will you do?
• Provide advisory support to branch network and DI/IE, including by responding to routine and complex inquiries.
• Assist with the complaint review, resolution and escalation process, ensuring compliance with IIROC/new SRO rules.
• Support Chief Compliance Officer, Directors and Senior Managers with special projects, policy updates and regulatory-driven initiatives.
• Assist with any regulatory requests (e.g. investigations).
• Assist with Regulatory Compliance Management (RCM) Monitoring and Testing program.
• Support the Outside Activity (OA) review process, particularly where novel or complex OBAs are involved.
• Draft communications, memorandums, new and amended policies, presentations and correspondence with clients (e.g. complaint response letters).
• Assist with the development and delivery of training to the business.

What do you need to succeed?

Must-have
• Excellent verbal and written skills in English and French.
• 7+ years’ experience in the financial services business, preferably with 2+ of those years being progressive investment industry experience with a focus on full service brokerages.
• University degree (preference in business, finance, economics, law, or accounting)
• Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements. Experience with wealth management/full service brokerage desirable.
• Ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and other key stakeholders.
• 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.

Nice-to-have

Completion of industry related education (CSC and CPH)

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, commissions.
• 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

Job Summary

Address:

TORONTO, Ontario, Canada

City:

CAN-ON-TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

Group Risk Management

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2023-03-16

Application Deadline:

2023-03-31

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 rbc.com/careers
Toronto ON

Salary Criteria