Risk Specialist I - Investment Advisor Operations

RBC•Minneapolis, MN

3d•$50,000 - $80,000•Onsite

About The Position

As an Operations Risk Specialist I in the Investment Advisor Operations team, you will be responsible for performing a variety of tasks related to the client advisory accounts. Tasks includes: daily, monthly, quarterly reports, reviewing vendor tasks, oversight of various processes/procedures, procedure reviews, customer service support for complex questions, internal training and other tasks as assigned. If you have great critical thinking skills, enjoy challenging work, and are looking for the next step in your career, we want to hear from you!

Requirements

4-year degree from an accredited university or equivalent OR High school diploma or equivalent AND 3 years of job-related experience
Ability to effectively train, lead and provide work direction to others, team player, ability to think big picture and investigate complex items
Advanced customer service skills, with strong verbal and written communication skills and with an ability to work effectively with all levels of staff and management
Effective problem identification, analytical and resolution skills required to support escalated issue resolution and/or oversight requirements; Strong attention to detail and confidentiality
Proficient computer skills in Microsoft-based software products including Word, Excel and Outlook

Nice To Haves

Advanced knowledge and understanding of advisory business a plus
4-year degree from an accredited university in business, finance or related field
3+ years business, finance, customer service and/or accounting/bookkeeping experience; Previous experience in the securities or banking industry preferred
Ability to integrate Excel and Access databases into daily work

Responsibilities

Execute activities surrounding advisory accounts.
Be able to explain all aspects related to advisory accounts.
Work complex reports, oversee processes to ensure items are processed correctly and handle complex processes.
Workload support during peak volumes, employee absences, and onboarding periods and coaching and development support for team members
Run and analyze reports as required to resolve exceptions ensuring adherence to all regulatory and firm policy requirements as well as perform department oversight to ensure adherence to department procedures, risks are mitigated, and regulatory requirements are met.
Assist with department WSP (Written Supervisory Processes) and oversight.
Liaise and provide customer service support for individuals requiring research on problem resolution, or securing information from other Operation's departments, RBC Business Units, external customers, or industry participants.
Address escalated questions independently, seeking assistance from Managers/Sr. Manager as appropriate following established department procedures.
Reduce risk by suggesting process changes or modifications as appropriate.
Provide accurate analysis and processing support for manual, exception-based, complex, and/or highly specialized processes within a specific Operation's department.
Accurately review, verify, and/or record data into technology supporting department processes.
Act as a resource for less experienced Operation's team members, partner with Managers/Sr. Manager in department to discuss findings related to processing errors and process improvements.
Presentation of departmental insights in team meetings, including trend analysis and improvement opportunities
Perform other duties and responsibilities as assigned.

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
Flexible work/life balance options
Opportunities to do challenging work
Opportunities to take on progressively greater accountabilities
Access to a variety of job opportunities across business
401(k) program with company-matching contributions
health, dental, vision, life and disability insurance
paid time-off plan