Compliance Manager, Regulatory Complaints, Investigations and Inquiries

Job Summary

Job Description

What is the opportunity?

As Compliance Manager, you will be a member of the Regulatory Complaint, Investigation & Inquiries (RCII) team that supports Royal Mutual Funds Inc. (RMFI), RBC Dominion Securities (RBC DS) and other RBC registered firms. You will primarily be responsible for complaint management and investigation related to RMFI regulatory complaints.

What will you do?

• Investigate regulatory complaints related to failure to follow laws and regulations applicable to Royal Mutual Funds (Canada) Inc. and other RBC registered firms. This includes reviewing and analyzing documentation and evidence to identify non-compliance.
• Gather and evaluate documents, statement of events, and other relevant evidence for investigation.
• Analyze the regulatory requirements, policies and procedures to identify non-compliance.
• Document investigative analysis and findings clearly and concisely, including writing substantive response letters and reporting through the CIRO Complaints and Settlement Reporting System (ComSet).
• Work with Compliance, the branch compliance officers, and other internal teams to understand and respond to the regulatory complaints and aid in the resolution of complaints.
• Effectively communicate findings, root cause of complaint matters, and escalated issues to supervisor and other senior management.
• Track and manage ongoing investigations, ensuring timely resolution and proper documentation.
• Based on findings, make recommendations to prevent future complaints and ensure compliance with applicable laws and regulations.
• Other initiatives - assisting on special projects, ongoing initiatives, and other work to support the RCII team, RBC Compliance, and RBC.

What do you need to succeed?

Must-have:

• 3-5 years experience working in a regulatory environment and/or managing regulatory complaints.
• Proven ability to prioritize and multi-task in a demanding environment.
• Ability to collaborate and build relationships within RCII, Compliance, and business partners.
• Motivation and ability to work independently within a team.
• Ability to deal with new or unfamiliar situations.
• Excellent written and oral communication skills.
• Excellent interpersonal skills.
• University degree (preference law, business, finance).

Nice-to-have:

• Experience working in a regulatory environment and/or knowledge of concepts relevant for regulatory complaints management.
• Canadian Securities Course or the IFIC Canadian Investment Funds Course.
• Branch Compliance Officers Course.
• Fluent French (in both speaking and writing) would be an asset.

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, flexible benefits, and 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.

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, 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: 2025-04-17

Application Deadline: 2025-05-02

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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