Account Approval Officer - Canadian Wealth Management Operations

October 30 2024
Industries Bank, Insurance, Financial services
Categories Bank, Insurance, Financial services, Forensic accounting, Fraud, Trading, Asset management
Toronto, ON • Full time

Job Summary

Job Description

What is the opportunity?

The Account Approval Officer will be responsible for the review and approval of new account documentation for RBC Direct Investing and InvestEase while complying with the rules of the Canadian Investment Regulatory (CIRO) and internal policies and procedures as they relate to account opening and KYC documentation. You will also liaise with the various operations processing centers-of-excellence and RBC Direct Investing and InvestEase business partners, supporting with investigations and inquiries and assisting to resolve concerns, and champion business requests to ensure a seamless operations service experience.

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 teams responsible for opening accounts and processing KYC updates.
  • 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.

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.

  • 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

Job Skills

Communication, Critical Thinking, Customer Service, Interpersonal Relationship Management, Operational Delivery, Process Improvements, Time Management

Additional Job Details

Address:

180 WELLINGTON ST W:TORONTO

City:

TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

WEALTH MANAGEMENT

Job Type:

Contract (Fixed Term)

Pay Type:

Salaried

Posted Date:

2024-09-05

Application Deadline:

2024-11-09

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.

Apply now!

Similar offers

Searching...
No similar offer found.
An error has occured, try again later.

Jobs.ca network