Job Description
WHAT IS THE OPPORTUNITY?The Associate Director, as an integral member of the RCM (Regulatory Compliance Management) Oversight and Reporting Team (RORT), will support the Director in the administering and executing of RCM oversight responsibilities for Wealth Management and Insurance business segments. Responsible for ongoing monitoring and reporting of key RCM metrics covering Wealth Management and Insurance business lines in the Canada and the Caribbean.Active in promoting best practices relating to common program elements; act as a Centre of Expertise on RCM Enterprise standards within the Compliance function supporting Wealth Management and Insurance.
WHAT WILL YOU DO?
Regulatory Compliance Management oversight responsibilities for Wealth Management and Insurance Canadian lines of business, including RBC DS, RBC DS Global Limited, Phillips, Hager & North Investment Counsel Inc., RBC Private Counsel (USA) Inc., RBC Royal Trust, among others.
Monitoring and reporting to the VP and Compliance Oversight and Advisory Teams (COAT) of key metrics covering risk assessments, issues management, monitoring & Testing activities to ensure alignment with risk appetite measures
Perform quarterly trigger events reviews, regulatory content reviews and ad hoc self-assessments to ensure compliance with regulations, rules and guidance by impacted regulated entities
Provide support and coordination for the RCM program ensuring best practices. Liaise closely with Compliance colleagues and other functions/1
LOD partners where applicable to ensure a consistent RCM approach.
Manage various internal reporting requirements to provide meaningful, accurate and timely information to senior management, including in respect of RCM.
Additional general support includes guidance on Reg development/Assessable Unit Impact, RCM access, ad-hoc information requests, Reg Comp and CAMLA training, participation in various working groups, and ongoing review of RCM database for underlying data integrity.
Must have:
Post-secondary education, finance, law or equivalent disciplines
Direct compliance or risk experience supporting Wealth Management
Working knowledge of and previous experience with Compliance Governance, Regulatory Compliance Management/OSFI E-13, and securities/regulatory environment
Generalist across multiple compliance subject areas
Strong knowledge of industry best practices relating to Compliance
Experience and ability to deal with senior leaders
Innovative self starer, strong attention to detail and strong analytical and problem solving skills
:
Conduct and Practices Handbook Course, Canadian Securities Course, RCM experience
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 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
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Issue Management, Product Services, Regulatory Compliance, Regulatory Risk, Regulatory Risk Assessment, Reporting and Analysis, Risk Management, Strategic Thinking
Additional Job Details
Address:
RBC CENTRE, 155 WELLINGTON ST W:TORONTO
City:
TorontoCountry:
CanadaWork hours/week:
37.5Employment Type:
Full timePlatform:
CHIEF LEGAL & ADMIN OFFICE GRPJob Type:
RegularPay Type:
SalariedPosted Date:
Final date to receive applications:
Note: Applications will be accepted until 11:59 PM on the day prior to the Final date to…To Search, View & Apply for jobs on this site that accept applications from your location or country, tap here to make a Search: