Senior Analyst - Client Risk Prevention

RBC; Charlotte (NC); On-site; USD 70,000 - 130,000; Full time

Benefits offered by this job

Total rewards program

401(k) company matching

Health, dental, vision, life insurance

Paid time off

Leadership development

Job summary

RBC Wealth Management is seeking a Senior Analyst, Client Risk Prevention to oversee intake and case management of fraud, exploitation, and vulnerable client support. The role emphasizes proactive risk advice, timely investigations, and strong collaboration with legal, compliance, and risk teams.

The position requires 5+ years in operational risk or financial investigations, a Bachelor’s degree, and proficiency with Salesforce and MS Office.

Qualifications

• Bachelor’s degree or equivalent experience in securities or retail banking.
• Five or more years of operational risk, financial investigations, or related experience.
• Ability to adapt to changing dynamics and procedures.
• Effective time management to handle high-volume cases.
• Strong analytic, problem-solving, and communication skills.
• Proficiency in Microsoft Word, Excel, Outlook, and PowerPoint.

Responsibilities

• Serve as centralized intake resource and SME for US Wealth Management on potential fraud/exploitation cases.
• Manage a high volume of cases efficiently and effectively.
• Prepare detailed written analyses in Salesforce documenting research, findings, and recommendations.
• Provide clear communication with financial advisors and partners to gather information and coordinate reviews.
• Assist with development and maintenance of department training materials and resources.
• Collaborate with legal, compliance and risk teams to fulfill risk objectives.

Skills

Operational risk experience

Time management

Analytical thinking

Communication skills

Regulatory knowledge

Education

Bachelor’s degree in securities or retail banking

Tools

Microsoft Word

Microsoft Excel

Microsoft Outlook

PowerPoint

Job description

Job Description

As a Senior Analyst, Client Risk Prevention in the Business Risk Oversight team, you will be responsible for the intake and case management of incidents of fraud, financial exploitation, and vulnerable client support, providing proactive and responsive advice to advisors, business partners, and functional groups. This role requires someone who has a passion for helping others and the ability to demonstrate time management, professionalism, and empathy with a calm demeanor while addressing potentially stressful, time-sensitive situations.

Please note that the firm will consider on a case-by-case basis candidates who are willing work from any existing US RBC Wealth Management office.

What will you do?

• Applying knowledge of regulations, laws, internal policies and standards, and best practices, to serve as a centralized intake resource and subject matter expert for US Wealth Management in response to potential fraud and/or client exploitation OR conduct timely comprehensive investigation which entails monitoring, identifying, investigations, and when appropriate, reporting of fraudulent activity indicative of elder financial exploitation, fraud, or any other financial risk or crime based on regulations, laws, internal policies and standards, and best practices.
• Manage a high volume of assigned cases efficiently and effectively
• Prepare detailed written analysis of research and findings in case management system (Salesforce). This would include documenting all research, recommendations, reports, holds, coordinate with internal business partners and agencies, evidence obtained, and guidance and education provided to field during a review.
• Provide clear and effective communication with financial advisors, complex/branch associates, and others as needed to gather pertinent information related to a review and to partner with parties during the duration of a review.
• Fulfill documentation requests from government agencies such as adult protective services
• Assist with the development and maintenance of department content including training materials, procedures, employee resources, and client-facing materials
• Partner closely with legal, compliance and risk colleagues to fulfill overall business risk objectives, including with respect to risk programs (e.g., Risk Culture and Conduct, Reputational Risk, Third Party Risk, Issues Management, Privacy, Operational Risk Events and Root Cause Analysis).
• Assist managers with tracking metrics and identifying trends for process improvement and efficiency
• Utilize a wide variety of research and transaction monitoring tools to identify fraudulent activity.
• Ability to foster and develop relationships across the department and developing as a trusted contact in this specific area of expertise

What do you need to succeed?

Must-have

• Bachelor’s degree or equivalent experience securities or retail banking industries
• Five or more years of related experience with operational risk, financial investigations or operational knowledge of the broker dealer or financial services environment
• Ability to adapt to changing dynamics, including evolving intervention techniques, changing resources, and new procedures
• Effective time management to address high volume of cases while multi-tasking and prioritizing matters appropriately based on time sensitivity
• Analytic and Problem-Solving Skills, attention to details, highly organized and excellent communication skills (both written and oral)
• Proficiency in Microsoft Word, Excel, Outlook, and PowerPoint

Nice-to-have

• Series 7, 66 and 24
• Certified Fraud Examiner (CFE) or Certified Financial Crimes Investigation (CFCI) Certification
• Experience working with external entities such as law enforcement, APS agencies, state securities regulators
• Advanced research and analytical skills such as an ability to assess and analyze large amounts of data with a high attention to detail
• Advanced data query and analysis stills such as SQL or Snowflake

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 include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• 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 do challenging work.
• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $77,000-$143,000 (Chicago), $70,000-$130,000 (Minneapolis), depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC’s high-performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value

Job Skills

Business Performance Management, Investment Economics, Investment Risk, Investment Risk Management, Market Risk, Performance Management (PM), Risk Control, Risk Management, Standard Operating Procedure (SOP)

Additional Job Details

Address: 250 NICOLLET MALL:MINNEAPOLIS

City: Minneapolis

Country: United States of America

Work hours/week: 40

Employment Type: Full time

Platform: WEALTH MANAGEMENT

Job Type: Regular

Pay Type: Salaried

Posted Date: 2026-08-31

Application Deadline

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.

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