Compliance Manager - Wealth Management

Job Description

What is the opportunity?

As an individual contributor, you will provide compliance support and advice to the Wealth Management Canada business, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA and RBC Royal Trust, including drafting policies and procedures, producing reports for senior management and the board of directors, and responding to inquiries from the branch network, with a view to mitigating civil, regulatory and reputational risk for RBC.

Additionally, to assist with regulatory and internal initiatives and projects, as needed.

What will you do?

• Draft and amend policies and procedures and participate in enterprise-wide policy initiatives.
• Provide advisory support to the branch network, including by responding to routine and complex inquiries.
• Manage compliance communications, including drafting announcements and reminders, and maintaining the internal compliance site.
• Review business marketing material and other client and employee communications from a compliance and regulatory perspective.
• Support Chief Compliance Officers, Directors and Associate Directors with special projects, policy updates and regulatory-driven initiatives.
• Assist with drafting communications, memorandums, presentations, and reports to senior management and the board of directors, as needed.
• Assist in developing and delivering training to the business.
• Assist with regulatory requests (e.g., requests for information, investigations).
• Assist with Regulatory Compliance Management (RCM) program, including monitoring of controls.

What do you need to succeed?

Must-have:

• Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements backed by 7+ years’ experience in the securities/investment or financial services business, preferably with 2+ of those years being focusing on portfolio managers and/or trust companies.
• Strategic mindset, ability to work well within a team, ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and key stakeholders, strong interpersonal skills and a strong client service focus.
• Excellent verbal and written communication skills.
• Effective at time-management, prioritization and delivering on short-term priorities while maintaining a long-term focus, and ability to both respond to and drive change management.
• University degree (preference in business, finance, economics, law, or accounting).

Nice-to-have

• Completion of industry related education (e.g., CSC, CPH and/or TEP)
• French fluency is an asset (both verbal and written)

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

• 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 interface with executives from many different parts of the organization

Job Skills

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

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