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Job Description
What is the opportunity?
- Lead a team responsible for the Regulatory Compliance Management (RCM) governance across the approximate eleven legal regulated entities that are part of Wealth Management & Insurance, Canada & Caribbean. These entities include: RBC Dominion Securities, RBC Global Asset Management, RBC Insurance, Royal Trust, RBC PH & N IC, RBC Wealth Management Financial Services, RBC Investor Services, RBC Private Counsel USA, RBC DS Global, and RBC PH & N Investment Funds (the "covered entities"). This includes ensuring a consistent approach to ongoing administration and execution of the RCM Program for the covered entities.
- Lead in the preparation of the Compliance to business reporting for RBC Dominion Securities, and the WM Canada Operating Committee and general compliance reporting that may be required at the WM & Insurance Compliance Department level.
- Assist VP, WM & Insurance Compliance, Canada & Caribbean with business and operational management of the WM & Insurance Compliance Team, Canada and Caribbean.
- Senior Compliance support to VP, WM & Insurance Compliance, Canada and Caribbean, on special projects and initiatives and help ensure consistent implementation and approach with respect to initiatives applicable across the covered entities.
What will you do?
- Ensure alignment and completeness of RCM program for WM & Insurance Canada and Caribbean covered entities by providing strategic guidance and expertise to BSC teams including cross platform monitoring activities where warranted
- Assist VP, WM & Insurance Compliance Canada with comprehensive reporting of regulatory and compliance related matters to senior management and relevant Boards of Directors
- Play a leading role on the roll out and implementation of initiatives that have an impact across the covered entities
- Act as a main contact for Enterprise Compliance / Global Shared Services RCM team for issues related to the covered entities
- Assist VP, WM & Insurance Compliance, Canada & Caribbean with budget planning and operational management of the WM & Insurance Compliance Team, Canada and Caribbean.
- Determine with WM Canada & Insurance CCOs opportunities for shared / cross-platform monitoring that can be conducted by the WM & Insurance Compliance RCM Team (solely or as an additional resource)
- Member of the WM & Insurance Compliance, Canada & Caribbean Senior Management Team (SMT)
- Maintaining strong working relationships with senior business leaders and functional partners through internal committees and working groups
- Represent RBC WM & Insurance Compliance on internal, and external regulatory working groups
- Managerial excellence - Ensure that employees understand RBC vision, as well as support and reinforce targeted behaviors that contribute to RBC goals
What do you need to succeed?
Must-have
- 8 Plus years Compliance or legal /regulatory financial industry experience
- University degree, Law degree or Post-graduate degree
- Strong analytical and decision making skills
- Strong collaboration skills
- Proven experience with regulatory authorities
- Strong leadership skills and the ability to network with and cultivate cross-enterprise alliances and partnerships with platforms, business units and other key stakeholders
- Ability to effectively lead projects and initiatives
- Excellent written and oral communication skills
- Ability to manage conflict, negotiation and influence decision-making when dealing with staff, business partners and key stakeholders
- Completed securities industry courses such as CSC, an asset
- French language skills, an asset
What's 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
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Work in an agile, collaborative, progressive, and high-performing team
- The opportunity to interface with senior level executives from many different parts of the organization
Job Skills
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