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About the Role

The Client Controls Associate reports to the Client Controls Manager and is part of the Front Office Risk Governance and Business Management team in CAO. The team plays a key role in supporting client facing teams by identifying business risks, operating events, and regulatory triggers that could impact Front Office and Client Risk operations. The role holder is also responsible as a product owner for Front Office Fees, including oversight and support for Fees tooling, management of Fee Anomalies, FIT tool, Fee Bots, and comparison tools. The Associate is expected to attend relevant governance forums and committees to represent oversight of the status, risks, and actions for the Fees product owner.

Responsibilities

Support execution of the Operational Risk Framework for RBC BD Front Office, including Risk and Control Assessments (RCSAs) at risk and process levels.
Support the identification and development of process enhancements (including control enhancements) and development of smarter process outcomes.
Support product owner for CFT Fees, including the management of Fee Anomalies, Fee Instruction Tool (FIT) and support for FIF/A (as necessary till retiring the tool) as well as oversight and proactive management of Fee related tools (Fee bots, comparison tools, etc).
Manage the mapping of key & non-key controls to the regulatory risk themes and support Regulatory Compliance with the annual risk questionnaire calculation to develop the regulatory risk assessment for CFT.
Produce and monitor effective and detailed Management Information and other key metrics data, as required.
Organisation and delivery of targeted training for Client Facing Teams across multiple office locations, where required.
Deliver monthly and quarterly attestation as required (i.e. Fee anomalies, FSCS attestations).
Continual review of controls framework to ensure that controls are appropriate for the risk area.
Assist internal and external auditors, provide support in process walkthroughs and source evidence as required.
Supporting the Head of Function with regards to Compliance Monitoring / Financial Crime actions / data privacy, data security and Conflicts of Interest related matters and other new regulations.
Deliver regular management reporting and clear insight on the effectiveness of implemented solutions of selected end-to-end complex Client Facing processes, including the preparation of meeting materials and artefacts.

Requirements

Experience working in a similar industry and keen to progress in the risk and controls area across the Front Office.
A strong understanding of risk and effective controls.
Ability to communicate with colleagues and develop and maintain effective working relationships at senior levels.
Strong analytical and problem solving skills.
Able to take the lead on initiatives and drive solutions.
Intellectual curiosity with desire for self improvement.

Skills

Commercial Acumen
Critical Thinking
Customer Relationship Management (CRM)
Long Term Planning
Results-Oriented

Location

Newcastle upon Tyne, United Kingdom

Work Type

Full time
Hybrid

Benefits

Leaders who support your development through coaching and managing opportunities.
Opportunities to work with the best in the field.
Ability to make a difference and lasting impact.
Work in a dynamic, collaborative, progressive, and high-performing team.

About the Company

Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 84,000+ employees who bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada’s biggest bank, and one of the largest in the world based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to more than 16 million clients in Canada, the U.S. and 34 other countries. Learn more at rbc.com.
We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at rbc.com/community-social-impact.

Equal Opportunity

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.