Manager, Compliance

Job Summary

Job Description

What is the opportunity?

To provide compliance support and advice to the Wealth Management Canada business, primarily RBC Royal Trust, RBC Phillips, Hager & North Investment Counsel and RBC Private Counsel USA including conducting compliance monitoring, responding to inquiries from the branch network, reviewing marketing and communications, 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?

• Be the primary resource for RBC Royal Trust, RBC Phillips, Hager & North Investment Counsel and RBC Private Counsel USA’s Regulator Compliance Management program, including developing compliance controls and managing regulatory and audit issues.
• Monitor business compliance with policies and regulatory requirements, including those applicable to trust companies, portfolio managers and investment advisors registered with the Securities and Exchange Commission (U.S.A.).
• 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 compliance training, special projects, policy updates and regulatory-driven initiatives.

What do you need to succeed?

Must-have

• Knowledge of the trust and estate, securities/investment and/or financial services industry, compliance practices and legal and regulatory requirements backed by 5 - 7 years’ experience in the trust and estate, securities/investment or financial services business, preferably with 2+ of those years being focusing on trust companies and/or portfolio managers.
• Regulatory Compliance Management and experience building and testing regulatory controls
• 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)
• Experience with SEC-registered portfolio managers

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, and stock where applicable
• 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
• A world-class training program in financial services
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities

#LI-Hybrid

#LI-POST

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: 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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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 jobs.rbc.com.