Compliance Analyst - Policy & Procedure Oversight

Royal Bank of Canada • Minneapolis, MN

1d • $55,000 - $95,000

About The Position

This role is focused on providing Compliance risk oversight and advice related to RBC Wealth Management (RBC-WM) policies and procedures. The primary goal is to ensure that all policies and procedures are clear, well-implemented, and aligned with regulatory requirements and RBC's risk and control standards. The role requires a base understanding of regulatory requirements, strong knowledge of RBC's risk and control framework, and excellent relationship-building skills. The ideal candidate will be able to proactively identify and address policy and procedure control weaknesses, and develop clear and effective compliance-related content.

Requirements

• Bachelor's Degree or 2 or more years of relevant experience

Nice To Haves

• FINRA Series 7
• Professional communication writing experience
• Web creation and design experience

Responsibilities

• Proactively engage and maintain relationships with business partners to provide compliance oversight and governance over the implementation of policies and procedures attendant to the compliance program in support of current and future products and services in accordance with regulatory requirement and RBC’s risk and control requirements.
• Assess, monitor and, if applicable, escalate policy & procedure control weaknesses and support leadership in evaluation and response.
• Lead Compliance governance of policy and procedure reviews, coordinating all areas of Compliance review in which policy and procedure issues can be identified including Regulatory Updates, External Events, Issues Management, and Monitoring results.
• Oversee reporting of policy and procedure changes in coordination with 1LOD risk partners.
• Effectively communicate through approved RBC-WM internal communication channels (e.g. email announcements and intranet content) requirements of and/or changes to RBC Policies and the Compliance support resources available in a professional and approachable manner
• Ensure communications meet requirements of RBC, including record retention requirements

Benefits

• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• 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.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

What This Job Offers

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