Compliance Manager - Wealth Management

Socket.dev; Toronto; On-site; CAD 120,000 - 180,000; Full time

Benefits offered by this job

Total rewards program

Bonuses

Flexible benefits

Job summary

RBC in Toronto, Canada, seeks an experienced compliance professional to support Wealth Management Canada, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA, and RBC Royal Trust. You will draft policies, generate reports for senior management, and respond to inquiries from the branch network.

As an individual contributor, you will help mitigate civil, regulatory and reputational risk by reviewing materials, maintaining the compliance site, and aiding regulatory

Qualifications

• 7+ years in securities or financial services with compliance experience.
• Experience with portfolio managers or trust companies preferred (2+ years).
• Strong communication, negotiation, and stakeholder influence.
• Ability to manage time and drive change in a dynamic environment.
• University degree in business, finance, economics, law, or accounting.

Responsibilities

• Draft and amend policies and procedures and participate in policy initiatives.
• Provide advisory support to the branch network.
• Manage compliance communications and maintain internal compliance site.
• Review marketing materials for compliance and regulatory risk.
• Support senior leadership with special projects and regulatory initiatives.
• Draft communications, memorandums, and reports to senior management and board.
• Assist in developing and delivering training to the business.
• Assist with regulatory requests and RC M program monitoring.

Skills

Policy drafting

Regulatory compliance

Communication skills

Stakeholder management

Risk management

Advisory experience

Legal/regulatory knowledge

Attention to detail

Team collaboration

Strategic thinking

Education

University degree in business, finance, economics, law, or accounting

Job description

Job Description

As an individual contributor, you will 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 responding to inquiries from the branch network, with a view to mitigating civil, regulatory and reputational risk for RBC. Additionally, to assist with regulatory and internal initiatives and projects, as needed.

What will you do?

• Draft and amend policies and procedures and participate in enterprise-wide policy initiatives.
• Provide advisory support to the branch network, including by responding to routine and complex inquiries.
• Manage compliance communications, including drafting announcements and reminders, and maintaining the internal compliance site.
• Review business marketing material and other client and employee communications from a compliance and regulatory perspective.
• Support Chief Compliance Officers, Directors and Associate Directors with special projects, policy updates and regulatory-driven initiatives.
• Assist with drafting communications, memorandums, presentations, and reports to senior management and the board of directors, as needed.
• Assist in developing and delivering training to the business.
• Assist with regulatory requests (e.g., requests for information, investigations).
• Assist with Regulatory Compliance Management (RCM) program, including monitoring of controls.

What do you need to succeed?

Must-have:

• Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements backed by 7+ years’ experience in the securities/investment or financial services business, preferably with 2+ of those years being focusing on portfolio managers and/or trust companies.
• Strategic mindset, ability to work well within a team, ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and key stakeholders, strong interpersonal skills and a strong client service focus.
• Excellent verbal and written communication skills.
• Effective at time-management, prioritization and delivering on short-term priorities while maintaining a long-term focus, and ability to both respond to and drive change management.
• University degree (preference in business, finance, economics, law, or accounting).

Nice-to-have

• Completion of industry related education (e.g., CSC, CPH and/or TEP)
• French fluency is an asset (both verbal and written)

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
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to interface with executives from many different parts of the organization

Job Skills

Audits Compliance, Business Compliance, Business Marketing, Compliance Training, Controls Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Internal Compliance, Investments, Product Services, Regulatory Compliance, Regulatory Compliance Management, Regulatory Requirements, 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: 2026-09-01

Application Deadline: 2026-09-21

Note

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.