Compliance Analyst - Policy & Procedure Oversight

Job Description

What is the Opportunity?

This role is focused on providing Compliance risk oversight and advice related to RBC Wealth Management (RBC-WM) policies and procedures. The primary goal is to ensure that all policies and procedures are clear, well-implemented, and aligned with regulatory requirements and RBC's risk and control standards. The role requires a base understanding of regulatory requirements, strong knowledge of RBC's risk and control framework, and excellent relationship-building skills.

The ideal candidate will be able to proactively identify and address policy and procedure control weaknesses, and develop clear and effective compliance-related content.

What will you do?

* Proactively engage and maintain relationships with business partners to provide compliance oversight and governance over the implementation of policies and procedures attendant to the compliance program in support of current and future products and services in accordance with regulatory requirement and RBC's risk and control requirements.

* Assess, monitor and, if applicable, escalate policy & procedure control weaknesses and support leadership in evaluation and response.

* Lead Compliance governance of policy and procedure reviews, coordinating all areas of Compliance review in which policy and procedure issues can be identified including Regulatory Updates, External Events, Issues Management, and Monitoring results.

* Oversee reporting of policy and procedure changes in coordination with 1

LOD risk partners.

* Effectively communicate through approved RBC-WM internal communication channels (e.g. email announcements and intranet content) requirements of and/or changes to RBC Policies and the Compliance support resources available in a professional and approachable manner

* Ensure communications meet requirements of RBC, including record retention requirements

What do you need to succeed?

* Bachelor's Degree or 2 or more years of relevant experience

Nice-to-Have

* FINRA Series 7

* Professional communication writing experience

* Web creation and design experience

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 $55,000-$95,000, 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

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

250 NICOLLET MALL:

MINNEAPOLIS

City:

Minneapolis

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

Final date to receive applications:

Note:

Applications will be accepted until 11:59 PM on the day prior to the Final date to receive applications 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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