Compliance Officer

What is the opportunity?

To provide compliance support and advice to the Wealth Management Canada business, including RBC Dominion Securities Inc. and RBC Wealth Management Financial Services Inc., including responding to inquiries from the branch network, assisting with internal reporting to senior management. Additionally, to assist with regulatory and internal initiatives and projects as needed. French fluency is strongly preferred.

What will you do?

• Provide advisory support to the branch network to ensure compliance with CIRO rules and firm's policies and procedures. This will include responding to routine and complex inquiries, coordinating discussions with cross-segment teams, and recognizing escalation points where necessary.

• Support Chief Compliance Officers, Directors and Associate Directors with special projects, policy updates and regulatory-driven initiatives.

• Assist with regulatory requests (e.g., requests for information, investigations).

• Assist with Regulatory Compliance Management (RCM) program, including monitoring of controls.

• Play a key role in preparing reports delivered to senior management through coordination with key contributors from entities within Wealth Management Canada.

• Support the review of employee disclosures, including outside activities and personal trading.

• Conduct thorough complaint reviews, propose appropriate resolutions, communicate clearly the resolutions, and escalate where necessary.

• Develop and deliver training to the business.

What do you need to succeed?

Must-have

• Strong interest in the securities/investment or financial services industry, compliance practices and legal and regulatory requirements. Working knowledge or experience with wealth management/full-service brokerage is desirable.

• Exhibits a curious mindset and has propensity to learn in order to problem solve.

• Effective time-management and prioritization skills to deliver on short-term priorities while maintaining a long-term focus.

• Ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and other key stakeholders.

• Team player with great interpersonal skills and a strong client service focus. Where necessary, solid individual contributor with a drive to deliver results.

• Excellent verbal and written communication skills.

• 2+ years' experience in the financial services business.

• University degree (preference in business, finance, economics, law, or accounting).

Nice-to-have

• Completion (or in progress) of industry related education (e.g., CSC, CPH, CFA Level 1)

• French fluency is strongly preferred (both verbal and written)

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, commissions.

• 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.

• Opportunities to take on progressively greater accountabilities.

Job Skills

Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

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.