Job description
Come Work with Us!
At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.
Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.
Job Title
Job Description
What is the opportunity?
The purpose of this role is to provide regulatory and compliance oversight and guidance to RBC Wealth Management’s Private Client Group. Proactively engage and maintain relationships with business partners to enhance controls and supervisory processes in compliance with SEC, FINRA and other regulatory expectations related to the Private Client Group.
What will you do?
- Provide Compliance guidance and advice to the Business Supervision Group and Complex management on Firm and regulatory policies and procedures.
- Review rules, regulations, regulatory guidance and enforcement actions to identify key risks and analyze applicable internal process and controls.
- Conduct and/or support periodic Compliance risk and oversight reviews of potential sales practice, conduct matters and policy violations and oversee corrective actions where applicable.
- Collaborate with supervisory personal in the recruiting and employee discipline processes.
- Recommend solutions to address regulatory compliance risks, which could include strengthening controls, technology and/or processes.
- Prepare and present a variety of presentations to summarize key activities, observations and trends to Compliance and PCG leadership.
What do you need to succeed?
Must-have
- A strong understanding of SEC and FINRA regulations, with a particular focus on sales practice and suitability concerns involving retail products in brokerage and advisory accounts
- At least 5 years of focused compliance experience in a Wealth Management business with proven ability to interact with Financial Advisors and field staff in a mature, productive manner or a Bachelor’s Degree with a compliance concentration or internship experience.
- Analytical Skill – ability identify issues, rules, analyze and reach conclusions in a concise manner.
- Continuous Learner – profession drive to remain up to date and relevant on emerging regulatory issues
- Ability to communicate effectively both verbally and in writing
- Ability to build and maintain strong collaborative positive relationships across the organization.
- Ability to challenge, or escalate to the appropriate leader, the business if there is regulatory or reputational risk
- Series 7, 65 or 66, 24 or the willingness to get licensed within 6 months of hire
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, 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
- Flexible work/life balance options
- Opportunities to do challenging work
- Opportunities to take on progressively greater accountabilities
- Access to a variety of job opportunities across business
Job Summary
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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.
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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 rbc.com/careers.
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