Manager, National Compliance

RBC - Toronto, ON (26 days ago)

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What is the opportunity?

As RBC adapts to new opportunities and challenges, Regulatory Compliance is adapting too.

We are continuously evolving our approach to provide meaningful guidance, oversight, and manage risk, while continuing to support our business partners in achieving our goals. Be it curious learning, global cooperation, inspiring creativity or elevating performance, our Compliance: Collaborate, Challenge, Create strategy is our commitment to growing intelligently together and we need people like you to join us.

With the Regulatory Compliance team you will have the opportunity to learn and grow new skills, develop your career and do work that matters in an ever-evolving environment. Are you up for the challenge?

Royal Mutual Funds Inc. (RMFI) Compliance is seeking a passionate, results oriented strategic thinker to join the team as Senior Manager, National Compliance. In this role, you will act as key compliance adviser and work closely with business and functional partners to ensure effective controls are in place in support of RMFI’s compliance program.

You will be part of a diverse, dynamic team that collaborates with a range of stakeholders and functions partners to ensure that the activities of mutual fund licensed representatives and financial planners within Royal Bank Canadian Banking are compliant with applicable regulatory requirements.

What will you do?

Support the Director in providing compliance oversight of securities licensed and related sales activities within Mutual Fund Distribution, Financial Planning, Private Banking, Advice Centre, Group Advantage, as assigned
Represent RMFI Compliance on business-driven and Learning projects as assigned, including providing compliance advisory support, conducting risk and privacy assessments
Support compliance responsibilities and initiatives, including impact analysis, the identification and resolution of compliance deficiencies related to audits, investigations, Regulatory Compliance Management, as assigned
Manage National Compliance operational and privacy matters, including acting as compliance advisory for operations, risk and privacy functional partners, reviewing escalations
Review and update policies and procedures periodically and as required due to changes to regulatory and/or business requirements
Conduct Marketing & Sales Communications compliance reviews
Assist the Director in other responsibilities, as assigned

What do you need to succeed?


5+ years of relevant experience in the securities industry, with MFDA or IIROC regulatory compliance, audit or risk experience
Strong research, technical, problem solving and presentation skills
Ability to identify and implement policies and process enhancements
University degree in business, finance or related disciplines
Canadian Securities Course or mutual funds licensing course


Prior experience in RBC Branch, Advice Centre or Operations and/or familiarity with RBC bank branch systems and processes is an asset
Operational support experience
Privacy advisory experience
Project management experience to effectively complete a broad range of assigned initiatives

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
Leaders who support your development through coaching and managing opportunities
Work in a dynamic, collaborative, progressive, and high-performing team
Opportunities to do challenging work
Flexible work/life balance options


City: Toronto
Address: 155 Wellington St W
Work Hours/Week: 37.5
Work Environment: Office
Employment Type: Permanent
Career Level: Experienced Hire/Professional
Pay Type: Salary + Variable Bonus
Position Level: PL08
Required Travel(%): 0
Exempt/Non-Exempt: N/A
People Manager: No
Application Deadline: 11/26/2019
Req ID: 201849