Director, Wealth Management Compliance

Manage a team of Compliance Managers who support RBC DS branches across the country.

Address and provide support in respect of client complaints as required; and support internal and external investigations.

Act as the key Compliance representative on significant regulatory changes that impact RBC DS (e.g., CIRO, CSA):
Review, interpret and apply rules and rule amendments; provide comments on proposed rules/amendments and consultations; participate in industry working groups; and complete gap assessments against new and amended requirements.

Respond and act as an escalation point as needed to routine and novel/complex inquiries from the RBC DS branch network.

Regulatory Compliance Management responsibilities, including issue oversight and monitoring activities.

Support the RBC DS Chief Compliance Officer on internal and external regulatory audits.

Support policy updates to ensure they reflect regulatory requirements and internal processes.

Provide support to other Compliance team members, including RBC Wealth Management Financial Services Compliance, RBC DS Global (Caribbean) Compliance, the Branch Audit Team and Regulatory Complaints, Inquiries and Investigations.

Provide training on policy and regulatory obligations, to Compliance team members and business partners, as well as other stakeholders.

Demonstrated expertise and knowledge of the securities industry, compliance practices and legal and regulatory requirements.

10+ years of relevant experience (e.g., financial services, full-service brokerage, wealth management, securities regulatory).

University degree (preference in business, finance, economics, law, accounting).

Demonstrated ability to manage conflict, negotiate and influence decision making when dealing with staff, business partners and key stakeholders.

Ability to effectively manage projects and identify where efficiencies can be realized.

Proven leadership in managing people, projects and establishing policies and procedures.

Effective at delivering on short-term priorities while maintaining a long-term focus.

Excellent written and oral communication skills, including public speaking.

Adaptive to driving and responding to change management.

Completion of industry related education

Fluency in French is an asset

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