Director of Regulatory Investigations at RBC

Lead compliance efforts at RBC with the Director of Regulatory Investigations and Inquiries role in Toronto, Canada. Guide a team in managing both internal and external regulatory investigations.

As a Director, you will supervise a dedicated team within the Regulatory Complaints, Investigations and Inquiries (RCII) unit at RBC Dominion Securities. Your responsibilities will include overseeing inquiries, managing investigations, and ensuring compliance with regulatory practices. Provide substantial regulatory advice to mitigate risks while collaborating with various departments to address complex issues.

Key Responsibilities:

• Oversee and manage a compliance investigation team

• Investigate internal conduct matters thoroughly

• Direct responses to regulatory inquiries efficiently

• Identify root causes and recommend improvements

• Develop tracking and reporting mechanisms for investigations

Requirements:

• Leadership experience in regulatory contexts

• Strong knowledge of securities industry regulations

• Proven analytical and decision-making skills

• Excellent communication and interpersonal abilities

• Detail-oriented mindset for complex issues

Enhance regulatory compliance and drive improvements within RBC's investigations team in Toronto.
#J-18808-Ljbffr