Company: Royal Bank of Canada
Location: Toronto, ON
Expected salary:
Job date: Wed, 28 Aug 2024 03:09:32 GMT
![](https://janserbob.com/wp-content/uploads/2024/01/apply-now.webp)
Job description: Job SummaryJob DescriptionWhat is the opportunity?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 BankingWhat 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, and Group Advantage
- Provide expert compliance advice by recommending practical solutions, balancing business practices and regulatory risks for business-driven and other compliance-related projects, including digital aspects requiring compliance guidance
- Monitor and act on regulatory proposals and rule changes, including participating in internal and industry working groups
- Manage key relationships with business and functional partners
- Review and update Compliance policies and procedures periodically and as required due to changes to regulatory and/or business requirements
- Coordinate RMFI Compliance response to regulatory reviews, internal and external audits
- Review escalated issues involving Marketing and Sales Communications compliance reviews
- Responsible for developing managing/tracking regulatory issues. Work with the Issue Owners to review and provide effective challenge on controls to mitigate risks.
What do you need to succeed?Must-have
- Expert knowledge of the securities industry
- Minimum 10+ years of experience in the financial services industry, with MFDA/IIROC regulatory compliance, risk and/or audit experience
- Ability to converse effectively and diplomatically with individuals at all levels
- Innovative self-starter who works well under pressure
- University degree in business, finance, or related discipline
- Canadian Securities Course or mutual funds licensing courses
Nice-to-have
- Partners, Directors and Senior Officers Course
- Conduct and Practices Handbook Course and/or Chief Compliance Officers Qualifying Exam
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
- Ability to make a difference and lasting impact
- Work in a dynamic, collaborative, progressive, and high-performing team
Job Skills Audits Compliance, Communication, Compliance Assessments, Compliance Policies, Compliance Programs, Compliance Reviews, Critical Thinking, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Risk Assessments, Risk Compliance, Risk Management, Strategic Thinking, Working GroupsAdditional Job DetailsAddress: RBC CENTRE, 155 WELLINGTON ST W:TORONTOCity: TORONTOCountry: CanadaWork hours/week: 37.5Employment Type: Full timePlatform: LAW AND COMPLIANCEJob Type: RegularPay Type: SalariedPosted Date: 2024-08-26Application Deadline: 2024-09-09Inclusion and Equal Opportunity EmploymentAt 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.Join our Talent CommunityStay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at .
Royal Mutual Funds Inc. (RMFI) Compliance is looking for a Senior Manager, National Compliance to provide oversight of securities-licensed activities within various departments. The role involves collaborating with business partners, monitoring regulatory changes, managing relationships, developing compliance policies, and responding to regulatory reviews. The ideal candidate will have expert knowledge of the securities industry and at least 10 years of experience in financial services, with regulatory compliance expertise. This position offers a comprehensive Total Rewards Program and the opportunity to work in a dynamic, collaborative team. RBC emphasizes diversity and inclusion, striving to provide an equitable workplace for all employees.
![](https://janserbob.com/wp-content/uploads/2024/01/apply-now.webp)