Manager, Compliance - Toronto, Canada - 0000050599 RBC Dominion Securities Inc.

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

    4 weeks ago

    Default job background
    Full time
    Description

    Job Description

    What is the opportunity? To provide compliance support and advice to the Wealth Management Canada business, including RBC Phillips, Hager & North Investment Counsel, RBC Private Counsel USA and RBC Royal Trust, including drafting policies and procedures, producing reports for senior management and the board of directors and responding to inquiries from the branch network, with a view to mitigating civil, regulatory and reputational risk for RBC. Additionally, to assist with regulatory and internal initiatives and projects as needed. What will you do?
  • Draft and amend policies and procedures and participate in enterprise-wide policy initiatives.
  • Support Chief Compliance Officers, Directors and Senior Managers with special projects, policy updates and regulatory-driven initiatives.
  • Provide advisory support to the branch network, including by responding to routine and complex inquiries.
  • Draft communications, memorandums, presentations, and reports to senior management and the board of directors.
  • Develop and deliver training to the business.
  • Assist with regulatory requests (e.g., requests for information, investigations).
  • Assist with Regulatory Compliance Management (RCM) program, including monitoring of controls.
    • What do you need to succeed? Must-have:
  • Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements backed by 7+ years' experience in the securities/investment or financial services business, preferably with 2+ of those years being focusing on portfolio managers and/or trust companies.
  • Strategic mindset, ability to work well within a team, ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and key stakeholders, strong interpersonal skills and a strong client service focus.
  • Excellent verbal and written communication skills.
  • Effective at time-management, prioritization and delivering on short-term priorities while maintaining a long-term focus; and ability to both respond to and drive change management.
  • University degree (preference in business, finance, economics, law, or accounting).
    • Nice-to-have
  • Completion of industry related education (e.g., CSC, CPH and/or TEP)
  • French fluency is an asset (both verbal and written)
    • 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, and competitive compensation.
  • Leaders who support your development through coaching and managing opportunities
  • Ability to make a difference and lasting impact.
  • Flexible work/life balance options
    • Job Skills Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking Additional Job Details

    Address:

    RBC CENTRE, 155 WELLINGTON ST W:TORONTO

    City:

    TORONTO

    Country:

    Canada

    Work hours/week:

    37.5

    Employment Type:

    Full time

    Platform:

    Law and Compliance

    Job Type:

    Regular

    Pay Type:

    Salaried

    Posted Date:

    Application Deadline:

    I nclusion and Equal Opportunity Employment

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