Finance & Banking Associate, Financial Compliance

Job Description

The RBC Dominion Securities Branch located in Mississauga, ON is looking for an Associate to join the team in maintaining, developing and growing an Investment Advisor's business by providing clients exceptional service in an efficient and professional manner.

What will you do?

• Serve as a primary point of contact for clients, delivering responsive, professional service and ensuring a seamless client experience.
• Process client account transactions, including fund transfers, wire payments, and account maintenance, with accuracy and attention to detail.
• Liaise effectively with internal partners and external stakeholders to resolve inquiries, facilitate transactions, and ensure timely execution of client requests.
• Support the onboarding of new clients by coordinating documentation and ensuring all regulatory and firm requirements are met.
• Ensure operational excellence by maintaining strong internal controls, proactively identifying protentional risks, and supporting compliance with regulatory and firm standards.
• Manage administrative and operational activities, including calendar management, schedule client meetings, expense processing, document preparation, and manage follow-up activities.
• Identify and implement process improvements to enhance overall operational efficiency across internal teams.

What do you need to succeed?

Must Have

• Bachelor’s degree or job-related experience
• Strong soft skills including verbal and written communication, people, organizational, and client service skills
• Attention to detail coupled with the mindset of how you can make advisors more efficient and effective
• Ability to adapt to a rapidly changing business and technology environment
• Proficiency in Microsoft Office, including Word, Excel, PowerPoint, and Outlook

Nice to Have

• Canadian Investment Regulatory Exam (CIRE)
• Financial services industry experience (including internships)

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
• Opportunities to take on progressively greater accountabilities
• Opportunities to build close relationships with clients
• Access to a variety of job opportunities across business

Job Skills

Additional Job Details

Address:

City:

Country:

Work hours/week:

Employment Type:

Platform:

Job Type:

Pay Type:

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

Compensation for this position (including salary and discretionary/variable payments) will be determined by factors, including but not limited to candidate's experience, skills, registration status, performance, individual goals, market conditions, and business needs.

Pay Range

The expected pay range for this position is:

This position includes competitive-based pay, and the overall earning potential is impacted by a variable incentive structure, earning a multiple of salary up to:

RBC supports pay transparency and we strive to ensure all pay ranges are competitive, fair, and equitable.

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…