Compliance Manager, Regulatory Complaints Extension

What is the opportunity?

The Compliance Manager on the Regulatory Complaints, Investigations and Inquiries (RCII) team will primarily be responsible for complaint management and investigation related to Royal Mutual Funds Inc. (RMFI).

• Investigate regulatory complaints applicable to RMFI. This includes reviewing and analyzing documentation and evidence to identify non-compliance.
• Gather and evaluate documents, statement of events, and other relevant evidence for investigation.
• Analyze the regulatory requirements, policies and procedures to identify non-compliance.
• Document investigative analysis and findings including writing substantive response letters and reporting through the CIRO Complaints and Settlement Reporting System (Com Set).
• Work with Compliance, the branch managers/branch compliance officers and other internal teams to understand the details of the matter, respond to the regulatory complaints, aid in the resolution of complaints and make recommendations relating to the investigation findings.
• Effectively communicate findings, root cause and escalated issues to supervisor and other senior management.
• Track and manage ongoing complaint and other regulatory investigations, ensuring timely resolution and proper documentation.
• Based on findings, make recommendations to prevent repeat issues/future complaints and ensure compliance with applicable laws and regulations.
• Other initiatives - assisting on special projects, ongoing initiatives and other work to support the RCII team, RBC Compliance and RBC.

• University degree (preference law, business, finance)
• Knowledge of mutual fund dealer and/or investment dealer
• Knowledge of CIRO rules
• Experience working in regulatory environment and knowledge of concepts relevant for regulatory complaints management
• Excellent written and oral communication skills
• Excellent interpersonal skills with strong client centric approach
• Proven analytical skills
• Proven ability to multi-task in a demanding environment
• Strong organizational abilities
• Motivated and can work independently within a team

• Completion of securities industry related education, including the Canadian Securities Course (CSC) or the IFIC Canadian Investment Funds Course, Branch Compliance Officers Course
• Ability to read and write in French is an asset

• 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
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities
• Ability to make a difference and last impact

• Audits Compliance
• Critical Thinking
• Data Gathering Analysis
• Decision Making
• Detail-Oriented
• Financial Regulation
• Industry Knowledge
• Product Services
• Risk Management
• Strategic Thinking

• Address: RBC CENTRE, 155 WELLINGTON ST W:
  
  TORONTO City:
  Toronto Country:
  Canada
• Work hours/week: 37.5
• Employment Type:
  
  Full time
• Platform: CHIEF LEGAL & ADMIN OFFICE GRP
• Job Type: Contract (Fixed Term)
• Pay Type:
  
  Salaried
• Posted Date:
• Final date to receive applications:

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.