Manager Client Compliance and Quality Control - Canada

RBC; Toronto; On-site; CAD 80,000 - 120,000; Full time

Job summary

RBC is seeking a Senior QC Manager to lead their Capital Markets KYC QC function. The successful candidate will be responsible for improving processes, training staff, and ensuring compliance within the KYC framework, working collaboratively with various stakeholders.

Benefits

Comprehensive Total Rewards Program

Flexible benefits

Competitive compensation

Flexible work/life balance options

Qualifications

• Minimum 3-5 years of KYC/AML Capital Markets experience.
• In-depth knowledge of global Regulatory requirements.
• People management experience.

Responsibilities

• Manage a team of QC analysts and provide professional coaching.
• Enhance KYC procedures to ensure compliance with regulatory standards.
• Conduct QC reviews of Global KYC Refresh cases.

Skills

Active Learning

Adaptability

Communication

Customer Service

Decision Making

Group Problem Solving

Interpersonal Relationship Management

Operational Delivery

Product Services

Time Management

Education

BA/BS or equivalent

Tools

MS Office

Job description

Job Summary

Job Description

What is the opportunity?

Global Know Your Customer (KYC) Refresh Team is seeking a highly talented Quality Control (QC) expert, specializing in domestic and international AML policies and KYC, to lead the RBC Capital Markets KYC QC function. In this role your primary responsibility will be Senior QC Manager with management responsibility of the regional Canada QC Team, tracking / driving process quality improvements, identifying control gaps and providing training and enhancing regulatory/ policy knowledge across the QC and Client Onboarding team. In addition, this Senior Manager will lead and coordinate any regulatory and audit fieldwork and delivery of action plans related to any audit findings.

What will you do?

• Manage a team of QC analysts by providing professional coaching, thematic and case level feedback to client onboarding analysts with business empathy and identify any training or learning objectives for the team.
• Motivate individual and team performance to conduct accurate QC reviews of Global KYC Refresh cases for Capital Markets (CM), to increase throughput whilst developing top talent by ensuring there is a written, digitally stored development plan in place
• Build and maintain strong relationships with key global KYC Capital Markets stakeholders.
• Enhance current KYC procedures to mitigate and regulatory breaches, ensure regulatory updates have been captured and conduct regulatory update training to the QC Team.
• Ensure process updates from a KYC regulatory requirement and end user application perspective
• Lead by example, react flexibly to changing business needs and ensure that skill set can be transferred to support other teams including QC and Regional Onboarding teams

What do you need to succeed?

Must haves

• BA/BS or equivalent
• People management experience
• KYC QC experience is preferred.
• Minimum 3-5 years of KYC/AML Capital Markets experience with a financial institution.
• In-depth knowledge of global Regulatory requirements (IIROC, FINTRAC, FINRA, FCA, BSA, MAS, etc.) and/or experience working with regulatory or rule-based environments.
• Ability to work under pressure, prioritize multiple assignments, and bring tasks to complete closure.
• Identify training opportunities through QC trend analysis and provide training to the Client Onboarding & QC team.
• Excellent managerial, communication (verbal & written) and planning skills to coordinate with QC analysts, to drive consistent and accurate QC outcomes across the team.
• Working knowledge of MS Office (Word/Excel/PowerPoint)
• Familiarity with Capital Markets products, trade systems and business lines.

Nice to haves

• Fenergo, Goldtier or CDR expertise or advanced knowledge of CM trading & settlement applications
• Certified Anti-Money Laundering Specialist (CAMS) designation or equivalent AML certification/license/control testing

What is 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, and 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
• Leaders who support your development through coaching and managing opportunities
• Flexible work/life balance options

Job Skills

Active Learning, Adaptability, Communication, Customer Service, Decision Making, Group Problem Solving, Interpersonal Relationship Management, Operational Delivery, Product Services, Time Management

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:

2025-06-04

Application Deadline:

2025-06-18

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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