Supervisory Risk Manager

RBC

Supervisory Risk Manager overseeing sales and trade-related activities for RBC Wealth Management. Responsibilities include risk assessment, supervision, and compliance in the financial services sector.

Posted 6/19/2026full-timeKansas City • Arizona, Kansas, Montana, Pennsylvania, Virginia • 🇺🇸 United StatesMid-LevelSenior💰 $90,000 - $160,000 per yearWebsite

About the role

Key responsibilities & impact

Serve as direct supervisor relative to all sales and trade-related activities for the complexes assigned
Review daily trade and periodic activity via the trade blotter and conduct necessary investigation and follow-up as warranted
Review and approve new accounts and account updates to client and account profiles
Perform account triage and in-depth analysis for monthly account reviews
Assess risk in all areas of responsibility and escalate potential problems and concerns to the appropriate parties
Work with complex management on systemic weaknesses that pose risk to ensure corrective measures are implemented

Requirements

What you’ll need

3-5 years of direct supervisory experience in a broker/dealer
Series 7, 63/65 or 66 and Series 8 or 9/10 or an equivalent combination
Excellent understanding of the stock market, investments and investment programs
Comprehensive and in-depth knowledge of investment products and strategies
Understanding of the securities industry’s regulatory environment and related policies and procedures

Benefits

Comp & perks

401(k) program with company-matching contributions
health, dental, vision, life, disability insurance
paid-time off
comprehensive Total Rewards Program
development through coaching and managing opportunities
dynamic, collaborative, progressive, and high-performing team
opportunities to do challenging work
ability to make a difference and lasting impact

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

account triagerisk assessmenttrade analysisinvestment productsinvestment strategiesclient account managementtrade blotter reviewsupervisory experience

Soft Skills

leadershipcommunicationproblem-solvinganalytical thinking

Certifications

Series 7Series 63Series 65Series 66Series 8Series 9Series 10