Account Approval Officer - Canadian Wealth Management Operations
Job Summary
Job Description
What is the opportunity?
The Account Approval Officer will be responsible for the review and approval of the new account documentation for Direct Investing and InvestEase while complying with the rules of the Investment Industry Regulatory Organization of Canada (IIROC) and internal policies and procedures as they relate to account opening documentation.
What will you do?
- Conduct daily review of incoming new account applications to determine compliance with regulatory requirements.
- Perform review for margin and options capabilities as necessary.
- Ensure daily approvals are completed within the mandated timeframe
- Escalate issues to the business, Compliance and management as required and advise the business on account documentation related policies and procedures and/or regulations as required.
- Provide leadership and guidance to the processing team responsible for opening the accounts.
- Special projects as assigned
What do you need to succeed?
Must have:
- Investment Dealer Supervisors Course
- Derivatives Fundamentals and Options Licensing Course
- Options Supervisors Course
- University Degree
- 2+ years of experience in the investment industry
- Knowledge of the systems used in Operations
- Strong analytical/problem solving
Nice to have:
- Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH)
- Knowledge of the securities industry and securities operations (QI/FATCA/CRS/AML, etc).
- Ability to work in a fast paced environment with tight deadlines.
- Ability to organize and prioritize an unpredictable workload.
Please note this is an 18 month contract**
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 quality service 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.
- 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
Job Skills
Communication, Critical Thinking, Customer Service, Interpersonal Relationship Management, Operational Delivery, Process Improvements, Time ManagementAdditional Job Details
Address:
City:
Country:
Work hours/week:
Employment Type:
Platform:
Job Type:
Pay Type:
Posted Date:
Application Deadline:
Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.