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    Manager, Internal Controls - Toronto, Canada - 0000050599 RBC Dominion Securities Inc.

    0000050599 RBC Dominion Securities Inc.
    0000050599 RBC Dominion Securities Inc. Toronto, Canada

    3 days ago

    Default job background
    Full time
    Description

    Job Description

    What is the opportunity? The Manager, Internal Controls role provides support to the Senior Manager, Internal Controls and Director, Business Risk (head office support level). Responsible for overseeing day-to-day operations and manage all aspects of Internal Controls functions, ensuring consistency in approach to Compliance rules and external regulations. The candidate will manage the business Fraud and Privacy Breach programs to prevent illegal, unethical, or improper business practices. The candidate will liaise daily with DS Branch staff, Operations and various head office partners. The job proactively participates in various projects and initiatives as required by the team. What will you do?
  • Oversight and approve third party international wires for DS Branches while enforcing Internal Controls standard procedures to detect and prevent fraud
  • Supervision over the Privacy Breach Incidents, Fraud and Non-reportable complaints procedures and reporting
  • Review and manage the Branch Signing Authority lists across DS retail branches; implementing robust control to ensure designated signers understand their accountabilities.
  • Part of the Head Office Support Team (HOST) - assisting the Branch Review team (including daily Summary of Account Guidelines exception report) and providing branches recommendations for efficiencies to management teams
  • Providing support and training to Branch Operations staffs and associates on updated policies, fraud and privacy breach prevention.
  • Supervision of Berton Block Restriction and Berton Block Commission Reversal review and approvals
  • Facilitating branches for private placement settlements and coordinating with RBC Capital Markets to ensure assets, funds and commissions are being allocated accurately.
  • Backing up Senior Business Analyst on securities asset classification based on researched and analyzed information to ensure all clients' downstream reporting is accurate.
    • What do you need to succeed? Must haves:
  • RBC DS Retail Branch Experience – 2 years minimum
  • Ability to deal with ambiguity and adapt to shifting priorities
  • Good judgement
  • Detail oriented
  • Strong project management skills
  • Works well both independently and as a member of the team
    • Nice-to-have: Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) What's in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
  • A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable.
  • Leaders who support your development through coaching and managing opportunities
  • Ability to make a difference and lasting impact.
  • Work in a dynamic, collaborative, progressive, and high-performing team.
  • Flexible work/life balance options.
  • Opportunities to do challenging work.
  • Opportunities to take on progressively greater accountabilities.
  • Access to a variety of job opportunities across business.
    • Job Skills Business, Business Process Change Management, Decision Making, Facilitation, Financial Risk Management (FRM), Internal Controls, Management Reporting, Operational Risks, Risk Control, Risk Management, Taking Initiative, Teamwork Additional Job Details

    Address:

    ROYAL BANK PLAZA, 200 BAY ST:TORONTO

    City:

    TORONTO

    Country:

    Canada

    Work hours/week:

    37.5

    Employment Type:

    Full time

    Platform:

    Wealth Management

    Job Type:

    Regular

    Pay Type:

    Salaried

    Posted Date:

    Application Deadline:

    I nclusion and Equal Opportunity Employment

    At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
    ​​​​​​​
    We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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