Manager, Compliance

Royal Bank of Canada•Vancouver, BC

3d•Onsite

About The Position

The Branch Review Team is seeking a highly motivated and experienced Manager, Compliance (Branch Review) to lead and execute risk-based reviews of RBC Wealth Management locations across Canada. In this role, you will provide independent oversight and valuable insights to help ensure compliance with regulatory requirements, internal policies, and operational control standards. As a trusted advisor and compliance professional, you will work closely with branch leadership and business partners to identify opportunities for improvement, strengthen controls, mitigate risk, and support a culture of compliance excellence. This position offers a unique opportunity to gain broad exposure across the Wealth Management business while contributing directly to the firm’s risk management framework. This role requires travel approximately 1–2 weeks per month throughout Canada.

Requirements

University degree or post-secondary education in Business, Finance, or a related discipline.
Significant experience within the securities industry, preferably in a trading, supervision, compliance, audit, or risk management environment.
Strong knowledge of securities industry regulations, supervisory practices, and operational controls.
Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH), or equivalent combination of experience and relevant industry education.
Proven ability to work independently while managing multiple priorities in a dynamic environment.
Strong leadership skills, including initiative, critical thinking, problem-solving, and sound judgment.
Exceptional communication, relationship management, negotiation, and influencing skills.
Excellent written and verbal communication abilities, including report writing and presentation skills.
Willingness and ability to travel extensively throughout Canada.
Valid driver’s license and access to a vehicle for local travel requirements.

Nice To Haves

Previous branch review, testing, compliance monitoring, audit, or branch operations experience.
Experience within Wealth Management or investment advisory businesses.
Fluency in French.

Responsibilities

Plan and execute risk-based branch reviews of RBC Wealth Management locations across Canada.
Assess the effectiveness of regulatory compliance, supervisory practices, operational controls, and internal monitoring processes.
Identify control weaknesses, compliance risks, and process improvement opportunities, and provide practical recommendations to strengthen the control environment.
Prepare comprehensive management reports summarizing review findings, risk assessments, and recommended actions.
Test and follow up on identified issues to ensure timely and effective remediation.
Maintain a strong understanding of evolving regulatory requirements, industry developments, internal policies, and emerging risks.
Continuously enhance and update branch review methodologies, testing programs, and risk assessment frameworks.
Support the development and implementation of Regulatory (RCM) testing standards and branch review programs.
Prioritize branch reviews using a risk-based approach, including assigning branch risk ratings.
Research and assess potential systemic risks, trends, and compliance issues across the business.
Collaborate with branch management and staff to promote understanding of compliance requirements, supervisory responsibilities, policies, procedures, and best practices.
Contribute to departmental initiatives, projects, and strategic priorities related to risk management and compliance.