Manager

• Lead a team across multiple branches.
• Partner with recruiting in the staffing process and own overall hiring and training.
• Drive excellence by coaching staff and enabling performances using the tools and training available.
• Manage the Complex Operations Team and ensure all required Operations related policies are adhered to.
• Enable and prepare the complex and branches in compliance inspection process and develop action plans to address any gaps.
• Assess suitability and risk for daily sales activities.
• Ensure branch staff members comply with regulatory, firm, complex and branch procedures, while resolving issues as needed.
• Ensure new advisors are properly onboarded including overseeing the process of coordinating new clients’ paperwork, and ensure new advisors receive training on RBC’s policies and procedures; and proactively support Financial Advisors efforts to build their business and effectively service their clients.
• Serve as a point of contact for multiple departments within RBC including Business Supervision Group, Compliance, Surveillance, and Legal.
• Partner with the Complex Director to develop and finalize the overall budget and actively manage it to its expected results.

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