RBC

Compliance Officer, Regulatory Complaints, Investigations & Inquiries

RBC

full-time

Posted on:

Location Type: Office

Location: Vancouver • Canada

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About the role

  • 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 (ComSet)
  • Assist with the coordination of documentation in support of internal or supervisory investigation and/or regulatory inquiries and regulatory complaint analysis
  • Manage documents and communications for tasks related to regulatory inquiries
  • Monitor and manage RCII shared mailboxes
  • Other initiatives as required

Requirements

  • Experience working in regulatory environment and knowledge of concepts relevant for regulatory complaints management.
  • Excellent written and oral communication skills
  • 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.
Benefits
  • 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
Applicant Tracking System Keywords

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

Soft Skills
excellent written communicationexcellent oral communicationmotivatedstrong organizational abilitiesexcellent interpersonal skillsability to collaborateability to build relationshipsproven ability to prioritizeproven ability to multi-task
Certifications
university degreesecurities industry related education