Compliance Officer, Regulatory Complaints, Investigations & Inquiries

Job Description

What is your opportunity?

As Compliance Officer, you will be responsible for certain activities covered by the Regulatory Complaints, Investigations and Inquiries (RCII) team. Primary responsibilities will cover onboarding, documentation gathering and file management for regulatory complaints and inquiries related to Royal Mutual Funds Inc. and RBC Dominion Securities Inc.

What will you do?

• Coordinate intake of client complaints, including inputting and maintaining complaints within the database, communicating with Branch Managers, preparing and handling complaint acknowledgement letters, obtaining the required documentation and supporting material to prepare the complaint file for analysis

• As requested, report complaints and updates, internal investigations and other reportable events through the regulator’s reporting system called Complaints and Settlement Reporting System (Com Set)

• File preparation and updates

• Assist with the coordination of documentation in support of internal or supervisory investigation and/or regulatory inquiries and regulatory complaint analysis, and RCII monthly and quarterly reporting requirements

• Manage documents and communications for task related to regulatory inquiries

• Monitor and manage RCII shared mailboxes

• Other initiatives as required

What do you need to succeed?

• Experience working in regulatory environment and knowledge of concepts relevant for regulatory complaints management.

• Excellent written and oral communication skills

• Experience working in regulatory environment and/or knowledge of concepts relevant for regulatory complaints management

• Motivated and can work independently within a team

• Strong organizational abilities

• Ability to deal with new or unfamiliar situations

• Excellent interpersonal skills

• Ability to collaborate and build relationships within RCII, Compliance and business partners

• Proven ability to prioritize and multi-task in a demanding environment

• University degree (preference law, business, finance)

Nice-to-have

• Completion of securities industry related education.

What’s in it for you?

We thrive on the challenge to be our best, thinking progressively 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 an agile, collaborative, progressive, and high-performing team

• The opportunity to interface with executives from many different parts of the organization

Job Skills

Additional Job Details

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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

I
nclusion 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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