Manager, Regulatory Compliance Management - QA Review

RBC • Vancouver, BC

13d • Onsite

About The Position

As part of the Enterprise Compliance RCM Quality Assurance Review Team, the role supports the Global Chief Compliance Officer’s report to the Audit Committee regarding RBC’s overall state of compliance. This role will also support the execution of Enterprise Compliance Function’s oversight over RBC’s Regulatory Compliance Management (RCM) programs maintained within the Compliance Function and the Functions Compliance Oversight Program (FCOP), which includes periodic Quality Assurance Reviews (QARs), ongoing issues management and reporting.

Requirements

• Undergraduate degree with 1-2 years of relevant work experience
• Experience with conducting quality assurance reviews or control testing, particularly in a risk management/ compliance context.
• Good understanding of corporate banking areas and related regulatory landscape.
• Understanding of/ experience in RCM regulatory requirements and related methodologies
• Relevant Compliance/Audit experience.
• Experience of working in close partnership with stakeholders at various levels.

Nice To Haves

• Certified audit/ compliance/ risk management professional

Responsibilities

• Execute QARs, in adherence with applicable QAR Guidelines: Plan & perform individual QARs for in-scope areas pursuant to the approved annual program plan; Prepare QAR reports for individual reviews that explain how the review was conducted and what findings resulted from the work performed, and share these reports with the stakeholders associated with each review; and Assist the reviewed areas in understanding QAR results and Issues, and how to remediate/correct practices.
• Manage the issues identified by the QAR Review Program, including inputting the required data into the Enterprise Issues Management (EIM) system, ongoing monitoring of issues status and validation of remediation activities, following the enterprise Regulatory Compliance Issues Management Process.
• Update RCM ratings for RM functions on a quarterly basis, based on results of QARs and progress of issues remediation.
• Support the ongoing development and maintenance of the QAR Guidelines and annual QAR plans.
• Leverage best practices identified in reviews performed to drive continuous improvement in the overall QAR Program.
• Assist the wider QAR team as required on other components or initiatives of the QAR Program.

Benefits

• A comprehensive Total Rewards Program including bonuses and flexible benefits
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in an agile, collaborative, progressive, and high-performing team
• The opportunity to interface with executives from many different parts of the organization

What This Job Offers

• Job Type: Full-time
• Career Level: Manager