Senior Compliance Officer
Senior Compliance Officer
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Salary Not Disclosed
1 Vacancy
Job Description
Job Summary
Job Description
What is the Opportunity
As Senior Compliance Officer for the Standard of Care and Sales Practice Oversight Team (SOC Team) you will provide oversight and monitoring over the RBC Wealth Management Private Client Groups (PCG) execution of its supervisory program as a Broker Dealer Investment Advisor and ERISA Investment fiduciary in accordance with the Firms Standard of Care Policy.
What will you do
A SOC Team Senior Compliance Officer conducts sample based monitoring reviews as trained supported and led by Compliance Associate Director using a variety of exception reports and automated surveillance system alerts to oversight the Firms first line of defense supervision program and controls.
Detect and escalate potential negative trends and isolated issues at national regional locational advisor and/or product sales practice levels that could lead to risk or harm to client and the Firm
Identify through monitoring activities 1LOD control weaknesses and deliver control enhancement recommendations to 1LOD control owners.
Support leadership in evaluation and response.
Proactively engage and maintain relationships with business partners to provide compliance oversight and governance over the implementation of 1LOD control enhancements in accordance with regulatory requirement and RBCs risk and control requirements.
Develop creative solutions for the business that are consistent with FINRA SEC and State rules regulations and guidance.
Continuously learn by researching and maintaining industry connection on emerging compliance product issues regulatory areas of concern announced focus enforcement focus etc.
Build meaningful relationships with partners across the organization.
What do you need to succeed
Bachelors Degree or at least 5 years of relevant compliance related experience
Series 7 or willingness to obtain
Ability to communicate effectively both verbally and in writing
Critical thinking problem identification and resolution skills
Capability to build and maintain relationships with others
Nice to Have
Series 24
State Insurance License
Series 65 or 66
Graduate degree
Programming language experience e.g. SQL
Familiarity with RBC platform and offerings
Technical knowledge of laws and regulations governing retail broker-dealers and investment advisors product solutions
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 include competitive compensation and flexible benefits such as 401(k) program with company-matching contributions health dental vision life disability insurance and paid-time off.
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.
Opportunities to do challenging work.
Opportunities to build close relationships with clients.
The expected salary range for this particular position is $65000-$115000 (Minnesota) depending on your experience skills and registration status market conditions and business needs.
You have the potential to earn more through RBCs discretionary variable compensation program which gives you an opportunity to increase your total compensation provided the business meets its performance targets and you meet your individual goals.
RBCs compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting engaging and retaining talent that:
Drives RBCs high-performance culture
Enables collective achievement of our strategic goals
Generates sustainable shareholder returns and above market shareholder value
#LI POST
Job Skills
Analytical Thinking Audits Compliance Business Communications Communication Critical Thinking Data Gathering Analysis Decision Making Industry Knowledge Internal Controls Interpersonal Relationship Management Investments Product Services Relationship Building Risk Management Strategic ThinkingAdditional Job Details
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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.
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Required Experience:
Senior IC
Employment Type
Full-Time
