Senior Director, RMFI

What is your opportunity?

In support of Mutual Fund Distribution and RBC Financial Planning business, RMFI Compliance is responsible to ensure that all licensed representatives in Canadian Banking who sell mutual funds, provide related investment advice and offer financial planning services, and their respective branch compliance officers, are compliant with regulations imposed by the provincial and territorial securities commissions, represented nationally by the Canadian Securities Administrators (CSA);

the Canadian Investment Regulatory Organization (CIRO); and in Quebec, the Autorité des marchés financiers (AMF) and the Chambre de la sécurité financière (the Chambre). There are approximately 11,000 licensed representatives including banking advisors, financial advisors and financial planners in the branch network, mobile investment & retirement planners (IRPs) financial planners, private bankers and branch compliance officers.

• Support the CCO in providing oversight of compliance activities in accordance with applicable regulatory requirements and internal policies and procedures
• Represent RMFI Compliance on business-driven and other compliance related projects, provide expert compliance advice/support by recommending practical solutions balancing business practices and regulatory risks
• Oversee and support the internal activities of the Compliance Advisory and National Compliance teams within RMFI Compliance.
• Liaise with the Trade Surveillance team to ensure RMFI is complying with CIRO rules efficiently and effectively
• Support the Risk and Control Monitoring program conducted on behalf of RMFI to meet CIRO requirements
• Manage operational and systems escalations raised by RMFI's finance and operations partners
• Lead special initiatives/projects including the identification and resolution of compliance deficiencies

• 10+ years of experience in the financial services industry with CIRO regulatory compliance experience
• Expert knowledge of the securities industry
• University degree in business, finance, law or related discipline
• Project management experience to enable effective completion of assigned initiatives and ad-hoc requests

• Canadian Securities Course;
• Partners, Directors and Senior Officers Course;
• Conduct and Practices Handbook Course and/or Chief Compliance Officers Qualifying Exam;
• CFA or MBA

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• 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

• Address: RBC CENTRE, 155 WELLINGTON ST W:
  
  TORONTO
• City:
  Toronto
• Country:
  Canada
• Work hours/week: 37.5
• Employment Type:
  
  Full time
• Platform: CHIEF LEGAL & ADMIN OFFICE GRP
• Job Type: Regular
• Pay Type:
  
  Salaried
• Posted Date:
• Final date to receive applications:

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.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity lified applicants may be contacted to review their resume in more detail.

Applications will be accepted until 11:59 PM on the day prior to the Final date to receive applications date above.