Senior Manager, National Compliance

What 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 RMFIs 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

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 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

Whats 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
• A world-class training program in financial services
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities

#LI-POST

Job Skills

Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best effectively collaborate drive innovation and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect belonging and opportunity for all.