Senior Manager - Head of Dispute Resolution and Electronic Communications Compliance
Senior Manager - Head of Dispute Resolution and Electronic Communications Compliance
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1 Vacancy
Job Description
Job Summary
Job Description
What is the Opportunity
Lead the Dispute Resolution team and oversee the intake investigations tracking and resolution of all client complaints. Ensure regulatory complaint reporting (e.g. 4503 Form U4/U5 disclosures) is timely and accurate. Analyze complaint trends to identify root causes potential misconduct training gaps or systemic issues.
Responsible for overseeing Wealth Managements (WM) compliance with regulatory requirements and internal policies related to electronic communications. Attend WMs eCommunications Governance Committee to review lexicons and trends identified by WM surveillance. Provide guidance to business on the compliant use of new or evolving communications platforms.
What will you do
Oversee intake investigations tracking and resolution of all client complaints.
Ensure timely fair and consistent responses aligned with regulatory obligations and internal policies
Escalate material or complex issues to legal risk or senior compliance leaders.
Ensure regulatory complaint reporting (e.g. 4503 Form U4/U5 disclosures) is timely and accurate.
Respond to regulators during audits or inquiries involving complaint handling
Analyze complaint trends to identify root causes potential misconduct training gaps or systemic issues.
Deliver regular and ad hoc complaint metrics summaries and trend reports to senior management
Drive operational improvements and leverage technology solutions to improve efficiency
Stay abreast of FINRA SEC and other applicable regulatory requirements regarding electronic communications and record keeping
Provide guidance to business on the compliant use of new or evolving communications platforms.
Oversee WM electronic communication surveillance teams
Escalate issues identified to the appropriate internal stakeholders
What do you need to succeed
Bachelors Degree
FINRA Registrations 7 and 24
MBA or Law Degree preferred
7 years of relevant experience
Highly organized and analytical with excellent attention to detail
Strong interpersonal and communication skills (both written and verbal) including ability to communicate issues professionally and effectively while using discretion with sensitive and confidential data
Strong team player who does not operate in a siloed capacity and values collaboration
Agile performer with a strong ability to prioritize and multitask between initiatives
Maintains a curious nature and can think strategically
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 $85000-$150000 (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
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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:
Director
Employment Type
Full-Time
