Quality Assurance Manager
RBC•Minneapolis, MN
•$70,000 - $130,000•Onsite
About The Position
As a Quality Assurance Manager for RBC’s Clearing & Custody business, you will be responsible for leading the implementation, control, and distribution of all quality assurance practices, standards, methodologies, and metrics. Additionally, you will perform quality checks of controls and act as the principal point of contact for internal and external audit teams.
Requirements
- Bachelor’s degree in accounting, finance, or a related field
- 3-5 years of financial services/brokerage experience
- Ability to communicate effectively both verbally and in writing
- Ability to work under pressure and meet deadlines
- Ability to create, execute and maintain project documentation
Nice To Haves
- Previous experience managing business controls and 3rd party auditors strongly preferred
Responsibilities
- Support the Billing & Reporting team on process enhancement, procedure modification, and audit coordination
- Conduct procedure reviews and complex process audits; assisting in major audits/reviews of department controls
- Evaluate and review processes; provide status reporting to Clearing & Custody management
- Interface with senior management to resolve deficiencies or compliance issues in a timely manner as needed
- Monitor adherence to quality standards in the development and implementation of new and existing process controls
- Monitor the effectiveness of the assurance process
- Act as the primary point of contact for outside auditors to provide control evidence, conduct process review sessions, and provide responses to audit inquiries
- Provide oversight and analysis of output for quarterly control checks performed by the Billing & Reporting team to ensure accuracy and help mitigate risks to the business and our Correspondent and RIA firms
- Assess current controls to ensure they fit within existing regulatory frameworks
- Manage root cause inquiries into process defects, and implement corrective and preventative actions
- Lead efforts to enhance existing processes, with an emphasis on those directly impacted by our System and Organizational Controls report
Benefits
- 401(k) program with company-matching contributions
- health, dental, vision, life, disability insurance
- paid-time off
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What This Job Offers
Job Type
Full-time
Career Level
Manager
