Ensure that an organization's operations and procedures meet government and industry compliance standards. Applies experience and seasoned knowledge, skills, and practices to perform a variety of assignments.

What is the opportunity?

As Manager, Compliance, you will provide support to the Wealth Management Canada businesses, including DS Retail, by overseeing the Compliance Advisory Team’s adherence to service level and quality expectations in respect of inquiries from the DS Retail branch network, compliance with applicable operating models, and timely and accurate completion of monitoring activities. You will also directly support CCO on various matters, including reporting, regulatory inquiries and special projects.

What will you do?

• Oversee advisory inquiries, ensuring timely and complete responses by the Advisory Team.

• Develop and oversee Advisory Team operating models for non-routine matters, including in respect of certain client escalations and reportable outside activity reviews.

• Oversee reporting for DS Retail, ensuring timely and complete submissions of information; and prepare supporting documentation for senior management, including the DS Retail CCO, to assist with presentations to, and responding to inquiries from various stakeholders.

• Oversee monitoring for DS Retail, Wealth Management Financial Services and DS Global (Caribbean), ensuring timely and accurate completion.

• Act as primary support to DS Retail CCO for regulatory deliverables (e.g., questionnaires, surveys).

• Complete special projects at the request of the DS Retail CCO.

• Provide advisory support to branch network, including by responding to routine and complex inquiries.

• As needed, assist with the complaint review, resolution and escalation process, ensuring compliance with CIRO rules.

What do you need to succeed?

Must-have

• Knowledge of the securities/investment or financial services industry, compliance practices and legal and regulatory requirements. Experience with wealth management/full service brokerage desirable.

• Ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and other key stakeholders.

• Strategic mindset, ability to work well within a team, strong interpersonal skills and a strong client service focus.

• Excellent verbal communication skills and ability to communicate clearly and effectively in writing.

• Effective at time-management, multi-tasking and delivering on short-term priorities while maintaining a long-term focus; and ability to both respond to and drive change management.

• 7+ years’ experience in the financial services business, preferably with 2+ of those years being progressive investment industry experience with a focus on full-service brokerages.

Nice-to-have

• Fluency in French is a strong asset

• Completion of industry related education (CSC and CPH)

What’s in it for you?

We thrive on the challenge to be our best, thinking progressively 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 executives from many different parts of the organization

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

RBC CENTRE, 155 WELLINGTON ST W:TORONTOTORONTOCanada37.5Full timeCHIEF LEGAL & ADMIN OFFICE GRPRegularSalaried2025-04-282025-05-17

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.