Compliance Officer
| Company | Royal Bank of Canada |
|---|---|
| Location | Toronto, ON, Canada |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Junior, Mid Level |
Requirements
- Strong interest in the securities/investment or financial services industry, compliance practices and legal and regulatory requirements.
- Effective time-management and prioritization skills to deliver on short-term priorities while maintaining a long-term focus.
- Ability to manage conflict, negotiate and influence decision-making when dealing with Compliance colleagues, business partners and other key stakeholders.
- Team player with great interpersonal skills and a strong client service focus.
- Excellent verbal and written communication skills.
- 2+ years’ experience in the financial services business.
- University degree (preference in business, finance, economics, law, or accounting).
Responsibilities
- Provide advisory support to the branch network to ensure compliance with CIRO rules and firm’s policies and procedures.
- Support Chief Compliance Officers, Directors and Associate Directors with special projects, policy updates and regulatory-driven initiatives.
- Assist with regulatory requests (e.g., requests for information, investigations).
- Assist with Regulatory Compliance Management (RCM) program, including monitoring of controls.
- Play a key role in preparing reports delivered to senior management through coordination with key contributors from entities within Wealth Management Canada.
- Support the review of employee disclosures, including outside activities and personal trading.
- Conduct thorough complaint reviews, propose appropriate resolutions, communicate clearly the resolutions, and escalate where necessary.
- Develop and deliver training to the business.
Preferred Qualifications
- Completion (or in progress) of industry related education (e.g., CSC, CPH, CFA Level 1)
- French fluency is strongly preferred (both verbal and written)