Manager, Compliance

RBC; Toronto; On-site; CAD 80,000 - 110,000; Full time

Job summary

An established industry player is seeking a Manager, Compliance to ensure adherence to compliance standards within Wealth Management. This key role involves overseeing the Compliance Advisory Team, managing inquiries, and supporting regulatory deliverables. The ideal candidate will possess extensive experience in the financial services sector, with a strategic mindset and excellent communication skills. Join a collaborative and high-performing team that values development and offers opportunities for impactful contributions to clients and communities.

Benefits

Comprehensive Total Rewards Program

Flexible benefits

Coaching and development opportunities

Collaborative team environment

Opportunity to interface with executives

Qualifications

• 7+ years in financial services, preferably with 2+ in investment industry.
• Ability to manage conflict and influence decision-making.

Responsibilities

• Oversee compliance inquiries and ensure timely responses.
• Support CCO on regulatory deliverables and special projects.

Skills

Knowledge of securities/investment

Conflict management

Strategic mindset

Excellent verbal communication

Time management

Fluency in French

Education

Completion of industry related education (CSC and CPH)

Job description

Join to apply for the Manager, Compliance role at RBC

5 days ago Be among the first 25 applicants

Join to apply for the Manager, Compliance role at RBC

Job Summary
Ensure that an organization's operations and procedures meet government and industry compliance standards. Applies experience and seasoned knowledge, skills, and practices to perform a variety of assignments.

Job Description
What is the opportunity?
As Manager, Compliance, you will provide support to the Wealth Management Canada businesses, including DS Retail, by overseeing the Compliance Advisory Team’s adherence to service level and quality expectations in respect of inquiries from the DS Retail branch network, compliance with applicable operating models, and timely and accurate completion of monitoring activities. You will also directly support CCO on various matters, including reporting, regulatory inquiries and special projects.
What will you do?

• Oversee advisory inquiries, ensuring timely and complete responses by the Advisory Team.
• Develop and oversee Advisory Team operating models for non-routine matters, including in respect of certain client escalations and reportable outside activity reviews.
• Oversee reporting for DS Retail, ensuring timely and complete submissions of information; and prepare supporting documentation for senior management, including the DS Retail CCO, to assist with presentations to, and responding to inquiries from various stakeholders.
• Oversee monitoring for DS Retail, Wealth Management Financial Services and DS Global (Caribbean), ensuring timely and accurate completion.
• Act as primary support to DS Retail CCO for regulatory deliverables (e.g., questionnaires, surveys).
• Complete special projects at the request of the DS Retail CCO.
• Provide advisory support to branch network, including by responding to routine and complex inquiries.
• Assist with the complaint review, resolution and escalation process, ensuring compliance with CIRO rules.

What do you need to succeed?

Must-have

• 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.
• Strategic mindset, ability to work well within a team, strong interpersonal skills and a strong client service focus.
• Excellent verbal communication skills and ability to communicate clearly and effectively in writing.
• 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.
• 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.

Nice-to-have

• Fluency in French is a strong asset
• Completion of industry related education (CSC and CPH)

What’s in it for you?

We thrive on the challenge to be our best, thinking progressively 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 an agile, collaborative, progressive, and high-performing team
• The opportunity to interface with executives from many different parts of the organization