Compliance Manager - Wealth Management
Core
Provide compliance support and advice to the Wealth Management Canada business, including drafting policies, producing reports for senior management, and mitigating civil, regulatory, and reputational risk.
Role type
Senior individual contributor compliance manager (wealth management)
Builds
Enterprise-wide policy initiatives, compliance reports, and regulatory response frameworks for RBC Wealth Management entities.
Domain
Financial services / Wealth Management / Securities regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Securities/investment industry knowledge, compliance practices, legal and regulatory requirements, policy drafting, regulatory reporting, risk mitigation, stakeholder negotiation, change management
Preferred skills
Portfolio management experience, trust company experience, industry certifications (CSC, CPH, TEP), French fluency
Technologies
None stated
Responsibilities
Draft and amend policies and procedures, respond to routine and complex compliance inquiries from the branch network, review business marketing material for compliance, support regulatory requests and investigations, assist in developing compliance training, prepare reports for senior management and the board
Seniority
Senior, hands-on IC