Compliance Manager, Regulatory Complaints & Investigations (12 Month Contract)

Royal Bank of Canada•Vancouver, BC

2d•Onsite

About The Position

As a Compliance Manager, you will be a member of the Regulatory Complaint, Investigation & Inquiries (RCII) team that supports Royal Mutual Funds Inc. (RMFI), RBC Dominion Securities (RBC DS) and other RBC registered firms. You will primarily be responsible for complaint management and investigation related to RMFI regulatory complaints.

Requirements

University degree
Experience working in regulatory environment and/or knowledge of concepts relevant for regulatory complaints management
Excellent written and oral communication skills
Motivated and can work independently within a team
Strong organizational abilities
Ability to deal with new or unfamiliar situations
Excellent interpersonal skills
Ability to collaborate and build relationships within RCII, Compliance and business partners
Proven ability to prioritize and multi-task in a demanding environment
Bilingualism (English and French) required, as you will regularly serve our clients and do business with RBC partners and/or employees across Canada with English and French speaking needs.

Nice To Haves

Canadian Securities Course or the IFIC Canadian Investment Funds Course
Branch Compliance Officers Course

Responsibilities

Investigate regulatory complaints related to failure to follow laws and regulations applicable to Royal Mutual Funds (Canada) Inc. and other RBC registered firms. This includes reviewing and analyzing documentation and evidence to identify non-compliance.
Gather and evaluate documents, statement of events, and other relevant evidence for investigation.
Analyze the regulatory requirements, policies and procedures to identify non-compliance.
Document investigative analysis and findings clearly and concisely, including writing substantive response letters and reporting through the CIRO Complaints and Settlement Reporting System (ComSet).
Work with Compliance, the branch compliance officers and other internal teams to understand and response to the regulatory complaints and aid in the resolution of complaints.
Effectively communicate findings, root cause of complaint matters and escalated issues to supervisor and other senior management.
Track and manage ongoing investigations, ensuring timely resolution and proper documentation.
Based on findings, make recommendations to prevent future complaints and ensure compliance with applicable laws and regulations.

Benefits

bonuses
flexible benefits
competitive compensation
commissions
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
A world-class training program in financial services
Flexible work/life balance options
Opportunities to do challenging work