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About the Role
Provide compliance support and advice to the Wealth Management Canada business, including drafting policies and procedures, producing reports for senior management and the board of directors, and responding to inquiries from the branch network, with a view to mitigating civil, regulatory and reputational risk for RBC. Additionally, to assist with regulatory and internal initiatives and projects, as needed.
Responsibilities
- Draft and amend policies and procedures and participate in enterprise-wide policy initiatives.
- Provide advisory support to the branch network, including by responding to routine and complex inquiries.
- Manage compliance communications, including drafting announcements and reminders, and maintaining the internal compliance site.
- Review business marketing material and other client and employee communications from a compliance and regulatory perspective.
- Support Chief Compliance Officers, Directors and Associate Directors with special projects, policy updates and regulatory-driven initiatives.
- Assist with drafting communications, memorandums, presentations, and reports to senior management and the board of directors, as needed.
- Assist in developing and delivering training to the business.
- Assist with regulatory requests (e.g., requests for information, investigations).
- Assist with Regulatory Compliance Management (RCM) program, including monitoring of controls.
Requirements
- Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements backed by 7+ years’ experience in the securities/investment or financial services business, preferably with 2+ of those years being focusing on portfolio managers and/or trust companies.
- Strategic mindset, ability to work well within a team, ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and key stakeholders, strong interpersonal skills and a strong client service focus.
- Excellent verbal and written communication skills.
- Effective at time-management, prioritization and delivering on short-term priorities while maintaining a long-term focus, and ability to both respond to and drive change management.
- University degree (preference in business, finance, economics, law, or accounting).
Skills
- Audits Compliance
- Business Compliance
- Business Marketing
- Compliance Training
- Controls Compliance
- Critical Thinking
- Data Gathering Analysis
- Decision Making
- Detail-Oriented
- Financial Regulation
- Industry Knowledge
- Internal Compliance
- Investments
- Product Services
- Regulatory Compliance
- Regulatory Compliance Management
- Regulatory Requirements
- Risk Management
- Strategic Thinking
Location
- RBC CENTRE, 155 WELLINGTON ST W:TORONTO
- Toronto
- Canada
Work Type
- Full time
Experience Level
- 7+ years’ experience in the securities/investment or financial services business
- 2+ of those years being focusing on portfolio managers and/or trust companies
Education Level
- University degree (preference in business, finance, economics, law, or accounting)
- Completion of industry related education (e.g., CSC, CPH and/or TEP)
- French fluency is an asset (both verbal and written)
Benefits
- A comprehensive Total Rewards Program including bonuses and flexible benefits
- Competitive compensation
- Commissions
- Stock where applicable
- 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
- A world-class training program in financial services
- Flexible work/life balance options
- Opportunities to do challenging work
- Opportunities to take on progressively greater accountabilities
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.
Equal Opportunity
- 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.
- RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.