Senior Manager, National Compliance

What is the opportunity?

As RBC adapts to new opportunities and challenges, Regulatory Compliance is adapting too.

We are continuously evolving our approach to provide meaningful guidance, oversight, and manage risk, while continuing to support our business partners in achieving our goals. Be it curious learning, global cooperation, inspiring creativity or elevating performance, our Compliance: Collaborate, Challenge, Create strategy is our commitment to growing intelligently together and we need people like you to join us.

With the Regulatory Compliance team you will have the opportunity to learn and grow new skills, develop your career and do work that matters in an ever-evolving environment. Are you up for the challenge?

Royal Mutual Funds Inc. (RMFI) Compliance is seeking a passionate, results oriented strategic thinker to join the team as Senior Manager, National Compliance. In this role, you will act as key compliance adviser and work closely with business and functional partners to ensure effective controls are in place in support of RMFI's compliance program.

You will be part of a diverse, dynamic team that collaborates with a range of stakeholders and functions partners to ensure that the activities of mutual fund licensed representatives and financial planners within Royal Bank Canadian Banking are compliant with applicable regulatory requirements.

What will you do?

• Support the Director in providing compliance oversight of securities licensed and related sales activities within Mutual Fund Distribution, Financial Planning, Private Banking, Advice Centre, Group Advantage, as assigned
• Represent RMFI Compliance on business-driven and other compliance related projects, provide expert compliance advice/support, conduct regulatory compliance and privacy risk assessments
• Monitor and act on regulatory proposals and rule changes from Compliance perspective, including participating in internal and industry working groups
• Review and update Compliance policies and procedures periodically and as required due to changes to regulatory and/or business requirements
• Coordinate RMFI Compliance response to regulatory reviews, internal and external audits, operational escalations, as assigned
• Conduct Marketing & Sales Communications compliance reviews
• Lead compliance initiatives including the identification and resolution of compliance deficiencies related to audits, investigations, Regulatory Compliance Management assessments, as assigned
• Assist the Director in other responsibilities, as assigned

What do you need to succeed?

Must-have

• Expert knowledge of the securities industry - Minimum 10 years' experience in the financial services industry, with MFDA/IIROC regulatory compliance, risk and/or audit experience

• Impact and Influence - Ability to converse with individuals at all levels
• Team player who works collaboratively with others
• Excellent Communication and interpersonal skills
• University degree in business, finance or related discipline
• Canadian Securities Course or mutual funds licensing courses

Nice-to-have

• Experience in transformational initiatives
• Operational support experience
• Privacy advisory experience
• Partners, Directors and Senior Officers Course; Conduct and Practices Handbook Course and/or Chief Compliance Officers Qualifying Exam
• Law degree, CFA or MBA would be 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, competitive compensation
• Leaders who support your development through coaching and managing opportunities
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to do challenging work
• Flexible work/life balance options

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