RBC

Compliance Manager – Branch Review Team

RBC

full-time

Posted on:

Location Type: Office

Location: Toronto • Canada

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Salary

💰 CA$67,000 - CA$90,000 per year

About the role

  • Plan and execute comprehensive compliance and internal control reviews across various RBC Wealth Management locations
  • Evaluate the efficacy of operational and compliance controls, providing constructive feedback on policies, procedures, and processes
  • Report on control weaknesses and compliance risks, offering recommendations to fortify controls, and actively contribute to implementing changes
  • Assist in crafting management reports, document identified deficiencies, and work with Branch Management to establish required actions plans to resolve the deficiencies
  • Diligently follow up on identified deficiencies to ensure their resolution
  • Stay abreast of evolving regulatory requirements, internal policies, procedures, and internal control standards
  • Continuously develop and update audit programs for the associated entities, ensuring alignment with industry standards
  • Contribute to departmental or divisional projects and initiatives related to risk management, risk assessments, and compliance, as required
  • Undertake tasks such as scheduling, planning, and executing audits of RBC Wealth Management offices
  • Play a key role in the development and implementation of audit standards, programs, and prioritization strategies though the identification of systemic risks or compliance issues
  • Support branch staff in understanding compliance internal controls, policies, and procedures, ensuring that RBC Wealth Management maintains a robust branch review program that exceeds regulatory requirements

Requirements

  • University or post-graduate business degree
  • Relevant securities industry or audit experience
  • Completion of CSC and CPH
  • Attention to detail and ability to exercise sound judgement
  • Team player attitude with strong work ethic
  • Leadership skills– taking initiative, strategic thinking, project management
  • Strong communication skills and the ability to work under deadlines
  • Exceptional conflict management, negotiation and influencing skills
  • Excellent written and verbal communication skills
  • Willingness to travel extensively mainly within Canada
  • Must have a valid driver’s license and have access to a vehicle for local travel
  • Auditing or compliance experience (nice-to-have)
  • Branch Manager Course (BMC)/Investment Dealer Supervision Course (IDSC) (nice-to-have)
  • Fluency in French (nice-to-have)
Benefits
  • A comprehensive Total Rewards Program including bonuses and flexible benefits
  • Competitive compensation
  • Opportunities to take on progressively greater accountabilities

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
audit programscompliance controlsrisk managementoperational controlsinternal control standardsregulatory requirementsdeficiency resolutionpolicies and proceduresstrategic thinkingproject management
Soft skills
attention to detailsound judgementteam playerleadership skillsstrong communication skillsconflict managementnegotiation skillsinfluencing skillswritten communicationverbal communication
Certifications
CSCCPHBranch Manager Course (BMC)Investment Dealer Supervision Course (IDSC)