Vacancy Description
Job Description As Director, RBC Wealth Management Canada Compliance, you will play a key leadership role in support of the RBC Dominion Securities Inc. (Retail) (RBC DS) business, Canada’s largest investment dealer and wealth management firm.
You will be responsible for a broad mandate, which includes: people management, advisory inquiries, complaint handling, regulatory change management, monitoring, internal and external audits, policies and procedures, and compliance training.
What will you do?
Manage a team of Compliance Managers who support RBC DS branches across the country.
Address and provide support in respect of client complaints as required; and support internal and external investigations.
Act as the key Compliance representative on significant regulatory changes that impact RBC DS (e.g., CIRO, CSA): Review, interpret, and apply rules and rule amendments; provide comments on proposed rules/amendments and consultations; participa...
You will be responsible for a broad mandate, which includes: people management, advisory inquiries, complaint handling, regulatory change management, monitoring, internal and external audits, policies and procedures, and compliance training.
What will you do?
Manage a team of Compliance Managers who support RBC DS branches across the country.
Address and provide support in respect of client complaints as required; and support internal and external investigations.
Act as the key Compliance representative on significant regulatory changes that impact RBC DS (e.g., CIRO, CSA): Review, interpret, and apply rules and rule amendments; provide comments on proposed rules/amendments and consultations; participa...
Ready to Apply?
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Submit your application for Director, Wealth Management Canada Compliance at 0000050599 RBC Dominion Securities Inc.
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