Manager, Sales Practices

Royal Bank of Canada • Toronto, ON

2d • CA$67,000 - CA$110,000 • Onsite

About The Position

The Manager, Sales Practices will report to and work closely with the Associate Director, Learning & Sales Practices to provide day-to-day compliance oversight, monitoring, and advisory services related to Sales Practices for our high-performing RBC GAM sales teams. This role will ensure that all required reporting is completed and reviewed effectively and in a timely manner while partnering closely with RBC GAM Individual Investor businesses to ensure activities are conducted in accordance with applicable regulations, internal policies, and industry best practices. You'll play a critical role in maintaining a strong culture of compliance while enabling business objectives.

Requirements

• 3-5 years' experience working within the financial services industry, preferably in wealth management or at a mutual fund manager or dealer.
• Strong knowledge of National Instrument 81-105 and sales practices compliance frameworks.
• Excellent organization skills, analytical thinking and attention to detail is mandatory.
• Excellent written, verbal, and interpersonal communication skills.
• Ability to work independently, manage multiple priorities, and meet tight deadlines.
• Strong time management skills with a high level of attention to detail.
• Intermediate level skills with Microsoft Office Suite (Outlook, Excel, Word, PowerPoint).
• Commitment to accuracy, consistency, and excellence.
• Ability to work effectively and collaboratively in a high volume, dynamic team environment.

Nice To Haves

• Post-secondary education (minimum three-year program) or equivalent experience.
• Completion of the Canadian Securities Course (CSC) or Canadian Investment Funds Course (CIFC).
• Previous experience working with Salesforce.
• Previous experience in sales practices and/or compliance.

Responsibilities

• Conduct regular internal monitoring and reporting of sales practices for all RBC GAM's Individual Investor Business channels.
• Gather and prepare all business materials and/or reporting on sales practices for internal and external audits.
• Maintain all sales practices policies, procedures, forms and documentation.
• Provide ongoing compliance advisory support related to Sales Practices policies and procedures.
• Respond accurately and timely to inquiries from teams via in-person, phone and email, including senior executives/business leaders.
• Review and approve co-operative marketing initiatives, conferences, charity, and sponsorship requests in line with regulatory and internal requirements.
• Conduct, document, and report compliance monitoring activities, escalating issues and recommending effective remediation where required.
• Proactively identify risks, gaps, and opportunities for improvement in business activities and monitoring programs.
• Track compliance issues (breaches) and action plans through successful remediation.
• Act as a subject matter expert and contribute to cross-functional and cross-divisional projects.
• Liaise with various partners, both internal and external, including Compliance and Marketing.

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 a dynamic, collaborative, progressive, and high-performing team.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: Associate degree