Rbc
Wealth Management
Director,WealthManagementCanadaCompliance
“Director, Wealth Management Canada Compliance at Rbc. Skills: Compliance, Wealth Management, Leadership, Regulatory Change Management. Manage a team of Compliance Managers.. Address client complaints and support investigations.”
Industry & Context.
What They're Looking For.
Must Have
Demonstrated expertise and knowledge of the securities industry, compliance practices and legal and regulatory requirements., 10+ years of relevant experience (e.g. , financial services, full-service brokerage, wealth management, securities regulatory)., University degree (preference in business, finance, economics, law, accounting)., Demonstrated ability to manage conflict, negotiate and influence decision making when dealing with staff, business partners and key stakeholders., Ability to effectively manage projects and identify where efficiencies can be realized., Proven leadership in managing people, projects and establishing policies and procedures., Effective at delivering on short-term priorities while maintaining a long-term focus., Excellent written and oral communication skills, including public speaking., Adaptive to driving and responding to change management.
Nice to Have
Completion of industry related education, Fluency in French is an asset
What You'll Do.
Manage a team of Compliance Managers.
Address client complaints and support investigations.
Act as key Compliance representative on regulatory changes.
Respond to inquiries from branch network.
Regulatory Compliance Management.
Support internal and external regulatory audits.
Support policy updates.
Provide training on policy and regulatory obligations.
How You'll Work.
Team & Collaboration
Support other Compliance team members.; Provide support to business partners.; Provide support to other stakeholders.
Communication Scope
Excellent written and oral communication skills; Public speaking
Process & Methodology
Manage projects, Identify efficiencies
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