Senior Manager, Registrations
Senior Manager, Registrations
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Job Description
Job Summary
Job Description
What is the opportunity
The Senior Manager Registrations supports the Director of Registrations with respect to the management and execution of registration requirements providing input on strategic direction integral to the overall operation of RBC Registrations. They develop and maintain strong relationships with both Chief Compliance Officers within RBC and management within supported business lines. Acting as a liaison with regulatory bodies they ensure effective communication with regulators and industry peers alike while being responsible for the efficient and effective delivery of service within established parameters.
What will you do
Subject Matter Expert (SME) & Team Management
- SME for registration identifying and interpreting regulatory requirements for RBC and its affiliates and employees and dealing with escalated regulatory questions.
- Oversee the administration of all aspects of RBC registration requirements under their purview including the effective management of two Senior Registration Officers in the conduct of their daily activity.
- Maintain ownership of specified Firm and Executive-level registration activity along with complex/escalated registration files and Registrations advisory mailbox. This includes effective tracking of applications to identify trends in the review of registration requests by regulators.
- Manage and implement assigned registration projects/initiatives for RBC business units as needed
- Provide input into mandates interviewing hiring replacement staff and conducting quarterly and annual reviews.
Relationship Management
- Develop and maintain strong relationships with our business partners and other stakeholders allowing them to effectively support and action the organizations securities registration needs and requirements proactively.
- Represent RBC Registrations as a member of industry registration committees and regulatory committees where appropriate and provide feedback to regulators on new regulatory requirements.
- Respond to compliance issues identified by the Compliance Department by collecting information analyzing issues and recommending course of action and documenting the issue for future reference.
Director Support
- Identify emerging risk and recommend practical solutions to the Director of Registrations
- Contribute to the continual enhancement of the Registration program while promoting best practices and ensuring a consistent understanding and implementation of registration requirements.
- Mentor Staff Managers
- Other duties as assigned.
What do you need to succeed
- 5-7 years working for a regulatory agency or for a large broker dealer or financial institution
- 2-4 years managing people and processes
- Experience in the investment industry
- Completion of a post-secondary university degree and/or equivalent work-related experience
- Solid understanding of securities regulations pertaining to registration
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
- Ability to make a difference and lasting impact
- Work in a dynamic collaborative progressive and high-performing team
- Opportunities to take on progressively greater accountabilities
Job Skills
Audits Compliance Critical Thinking Data Gathering Analysis Decision Making Financial Regulation Industry Knowledge Interpersonal Relationship Management Product Services 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 Manager
Employment Type
Full-Time
