Regulatory Affairs jobs in United States

Job Summary

Oversees day-to-day operations of the corporation's comprehensive compliance function and ensures consistency in approach to and compliance with internal business process rules and external regulations. Manager with HR responsibility. Typically manages and oversees supervisors and/or hourly/professional jobs and responsible for setting the overall direction for employees.

Job Description

What is the opportunity?

Compliance Manager on the Regulatory Complaints, Investigations and Inquiries (RCII) team. The role will primarily be responsible for complaint management and investigation related to RMFI regulatory complaints.

What will you do?

• Investigate regulatory complaints 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 response 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?

• Experience working in regulatory environment and knowledge of concepts relevant for regulatory complaints management.
• University degree (preference law, business, finance)

• Excellent written and oral communication skills

• Excellent interpersonal skills with strong client centric approach

• Proven analytical skills

• Proven ability to multi-task in a demanding environment

• Strong organizational abilities

• Motivated and can work independently within a team

Nice to have

• Completion of securities industry related education, including the Canadian Securities Course (CSC) or the IFIC Canadian Investment Funds Course, Branch Compliance Officers Course.
• Fluent in French 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 and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Work in a dynamic, collaborative, progressive, and high-performing team
• A world-class training program in financial services
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities

Job Skills

Analytical Thinking, Communication, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Documentations, Ensure Compliance, Industry Knowledge, Investigative Analysis, Problem Solving, Proper Documentation, Regulatory Compliance, Regulatory Requirements, 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:

Contract (Fixed Term)

Pay Type:

Salaried

Posted Date:

2025-06-24

Application Deadline:

2025-07-02

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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