Manager, National Compliance
Toronto, Ontario, Canada
13d ago

What is the opportunity?

Are you a driven, creative problem solver looking to broaden your mutual funds compliance advisory, issues management and process improvement experience?

As Manager, National Compliance, Royal Mutual Fund Inc.

RMFI) Compliance, you will provide advisory support for various initiatives and act as a point of escalation for operational issues relating to the RBC Mutual Fund Distribution and Financial Planning business.

You will be part of a diverse, dynamic team that collaborates with a range of stakeholders and functions partners to ensure that the activities of mutual fund licensed representatives and financial planners within Canadian Banking are compliant with applicable regulatory requirements.

What will you do?

  • Support the Deputy Chief Compliance Officer in providing oversight of compliance activities in accordance with applicable regulations and internal policies and procedures
  • Represent RMFI Compliance on business-driven and compliance related projects
  • Lead compliance-related training and awareness programs, including representing RMFI Compliance on business-led training initiatives
  • Act as compliance advisor for operations functional partners and provide strong risk management support, including enhancing and implementing compliance related processes and procedures
  • Manage National Compliance operational matters, escalated issues, and certain systems related responsibilities
  • Liaise with Operational Risk for the day-to-day operation of the Branch Review program
  • Review and approve assigned marketing and sales communications for use by RMFI licensed representatives and financial planners
  • Where assigned, support Manager, Trade Surveillance on daily trade surveillance manager reviews
  • What do you need to succeed?


  • 5+ years of relevant experience in the securities industry, with MFDA or IIROC regulatory compliance experience
  • University degree in business, finance or related disciplines
  • Canadian Securities Course completion
  • Project management experience to effectively complete a broad range of assigned initiatives
  • Strong research, technical, problem solving and presentation skills
  • Ability to identify and implement policies and process enhancements
  • Knowledge of securities regulations
  • Nice-to-have

  • Prior experience in RBC Branch, Advice Centre or Operations and / or familiarity with RBC bank branch systems and processes is an asset
  • Branch Manager Course
  • Financial Planning Designation
  • 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
  • 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
  • Flexible work / life balance options
  • About RBC

    Royal Bank of Canada is Canada’s largest bank, and one of the largest banks in the world, based on market capitalization.

    We are one of North America’s leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis.

    We have over 80,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S.

    and 37 other countries.

    For more information, please visit

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    Inclusion and Equal Opportunity Employment

    RBC is an equal opportunity employer committed to diversity and inclusion.

    We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal / Native American status or any other legally-protected factors.

    Disability-related accommodations during the application process are available upon request.

    City : Toronto

    Address : 155 Wellington St W

    Work Hours / Week : 37.5

    Work Environment : Office

    Employment Type : Permanent

    Career Level : Experienced Hire / Professional

    Pay Type : Salary + Variable Bonus

    Required Travel (%) : 0

    Exempt / Non-Exempt : N / A

    People Manager : No

    Application Deadline : 08 / 22 / 2018

    Posting Notes :

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