Compliance Manager, Regulatory Complaints - 6 Month Contract (Possible Extension)
Royal Bank of Canada · BC, CA
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About the Role
The Compliance Manager on the Regulatory Complaints, Investigations and Inquiries (RCII) team will primarily be responsible for complaint management and investigation related to Royal Mutual Funds Inc. (RMFI).
Responsibilities
- Investigate regulatory complaints applicable to RMFI, including reviewing and analyzing documentation and evidence to identify non-compliance.
- Gather and evaluate documents, statement of events, and other relevant evidence for investigation.
- Analyze regulatory requirements, policies, and procedures to identify non-compliance.
- Document investigative analysis and findings, including writing substantive response letters and reporting through the CIRO Complaints and Settlement Reporting System (ComSet).
- Collaborate with Compliance, branch managers/branch compliance officers, and other internal teams to understand matters, respond to regulatory complaints, aid in resolution, and make recommendations.
- Effectively communicate findings, root cause, and escalated issues to supervisors and senior management.
- Track and manage ongoing complaint and other regulatory investigations, ensuring timely resolution and proper documentation.
- Make recommendations based on findings to prevent repeat issues and ensure compliance with applicable laws and regulations.
- Assist on special projects, ongoing initiatives, and other work to support the RCII team, RBC Compliance, and RBC.
Requirements
- University degree (preference for law, business, or finance).
- Knowledge of mutual fund dealer and/or investment dealer.
- Knowledge of CIRO rules.
- Experience working in a regulatory environment and knowledge of concepts relevant for regulatory complaints management.
- Excellent written and oral communication skills.
- Excellent interpersonal skills with a strong client-centric approach.
- Proven analytical skills.
- Proven ability to multitask in a demanding environment.
- Strong organizational abilities.
- Motivated and able to work independently within a team.
- Completion of securities industry related education, including the Canadian Securities Course (CSC) or the IFIC Canadian Investment Funds Course, Branch Compliance Officers Course.
- Ability to read and write in French is an asset.
Skills
- Audits Compliance
- Critical Thinking
- Data Gathering Analysis
- Decision Making
- Detail-Oriented
- Financial Regulation
- Industry Knowledge
- Product Services
- Risk Management
- Strategic Thinking
Location
- RBC CENTRE, 155 WELLINGTON ST W:TORONTO
- Toronto
- Canada
Work Type
- Full time
- Contract (Fixed Term)
Education Level
- University degree
- Canadian Securities Course (CSC)
- IFIC Canadian Investment Funds Course
- Branch Compliance Officers Course
Benefits
- A comprehensive Total Rewards Program including bonuses and flexible benefits
- Competitive compensation
- Commissions
- Stock where applicable
About the Company
- 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.
- Expand your limits and create a new future together at RBC.
- Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.