Complex/Branch Services Consultant

RBC • Minneapolis, MN

6d • $85,000 - $150,000 • Hybrid

About The Position

This role will provide temporary backup support for primary supervisory positions (e.g., Complex Assistant Manager, Complex Operations Manager, Sr. Branch Service Manager, etc.) during their extended leave absences (e.g., 4–6 months). As a contingency resource, you will maintain operational continuity by executing predefined duties as outlined below and under the guidance of existing complex leadership. This national hybrid position requires flexibility to deploy virtually or on-site across multiple locations, ensuring adherence to established policies and procedures during coverage periods.

Requirements

• Minimum of 5 years of industry experience
• Minimum of 3 years of management/supervisory experience
• Working knowledge of branch/complex operations, compliance protocols, and RBC systems
• Advanced understanding of the financial services and wealth management
• Comprehensive and in-depth knowledge of investment products and strategies and their suitability for clients based on investment objectives and financial status
• Comprehensive understanding of the operations of a branch/complex office
• In-depth understanding of the firm, regulatory and industry compliance policies and procedures
• Bachelor’s degree or equivalent work experience
• Ability and willingness to travel up to 40% and work flexible hours across all time zones.
• Series 7, 8 (or 9/10) and 63, 65 (or 66) and other licenses as required (e.g., Insurance, 3)

Nice To Haves

• Experience in backup or contingency roles requiring rapid process adoption.
• Familiarity with financial advisor and client associate support functions (e.g., onboarding, licensing).

Responsibilities

• Maintain day-to-day operations by executing routine tasks (e.g., workflow approvals, compliance documentation, invoice processing, etc.) in alignment with existing protocols.
• Facilitate compliance activities (e.g., inspections, AML monitoring, record retention) by implementing predefined checklists and reporting findings to oversight teams.
• Follow prescribed procedures for FA onboarding, licensing tracking, and technology adoption (e.g., Wealth Plan, CAL) without modifying core processes.
• Coordinate logistics for compliance reviews, training sessions, and branch visits using approved templates and schedules.
• Process financial/administrative tasks (e.g., expense approvals, report reviews) within delegated authority limits.
• Act as a liaison between complex/branch staff and internal teams (e.g., BSG, Legal) to relay information and requests.
• Communicate policy updates to staff using pre-approved messaging, materials, and scheduled meetings.
• Support FA inquiries on operational matters (e.g., client paperwork, system access) via established help channels.
• Monitor adherence to compliance requirements (e.g., meeting documentation, surveillance mandates) and flag deviations to supervisory teams and field leadership.
• Assist with annual compliance inspections by gathering documentation and coordinating logistics under leadership direction.
• Handle all confidential and sensitive information in strict adherence to RBC’s Code of Conduct and established protocols.
• Ensure adherence of all complex record-retention requirements
• Ensure ongoing compliance with regulatory requirements by maintaining the required supervisory log, including documenting supervision duties as required by each specific role.
• Visit all branches in the complex per policy guidelines documenting as directed by RBC’s policies and procedures.
• Support CSC staff training by delivering foundational system and procedure training as required by their role.
• Facilitate role-specific training for complex and branch management level staff on procedures, system navigation, and operational workflows when directed.
• Coordinate field training for complex/branch personnel as needed when in assignment with assigned Technology Application Trainers.
• Reinforce adherence to RBC’s training standards during backup assignments, ensuring consistency with learning objectives and policies.

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees