Job Description What is the opportunity? Royal Mutual Funds Inc. (RMFI) Compliance is seeking a passionate, results oriented strategic thinker to join the team as Senior Manager, National Compliance. In this role, you will act as key compliance adviser and work closely with business and functional partners to ensure effective controls are in place in support of RMFI’s compliance program. The role will be part of a diverse, dynamic team collaborating with stakeholders and functional partners to ensure proper controls for mutual fund licensed representatives and financial planners within Royal Bank Canadian Banking.

What will you do?

Support the Director in providing compliance oversight of securities-licensed and related sales activities within Mutual Fund Distribution, Financial Planning, Private Banking, Advice Centre, and Group Advantage

Provide expert compliance advice by recommending practical solutions, balancing business practices and regulatory risks for business-driven and other compliance-related projects, including digital aspects requiring compliance guidance

Monitor and act on regulatory proposals and rule changes, including participating in internal and industry working groups

Manage key relationships with business and functional partners

Review and update Compliance policies and procedures periodically and as required due to changes to regulatory and/or business requirements

Coordinate RMFI Compliance response to regulatory reviews, internal and external audits

Review escalated issues involving Marketing and Sales Communications compliance reviews

Responsible for developing, managing, and tracking regulatory issues.



Work with the Issue Owners to review and provide effective challenge on controls to mitigate risks.

What do you need to succeed? Must have:

Expert knowledge of the securities industry

Minimum 10+ years of experience in the financial services industry, with CIRO regulatory compliance, risk and/or audit experience

Ability to converse effectively and diplomatically with individuals at all levels

Innovative self-starter who works well under pressure

University degree in business, finance, or related discipline

Canadian Securities Course or mutual funds licensing courses

Nice-to-have:

Partners, Directors and Senior Officers Course

Conduct and Practices Handbook Course and/or Chief Compliance Officers Qualifying Exam

What’s in it for you?

A comprehensive Total Rewards Program including bonuses and adaptable benefits, competitive compensation, commissions, and 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

Opportunities to do challenging work

Job Skills Audits Compliance, Compliance Assessments, Compliance Policies, Compliance Reviews, Critical Thinking, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Risk Assessments, Risk Compliance (Inactive), Risk Management, Strategic Thinking, Working Groups

Job Details

Address: RBC CENTRE, 155 WELLINGTON ST W, TORONTO

City: Toronto

Country: Canada

Work hours/week: 37.5

Employment Type: Full time

Platform: CHIEF LEGAL & ADMIN OFFICE GRP

Job Type: Regular

Pay Type: Salaried

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📌 Senior Manager, National Compliance (Toronto)
🏢 RBC
📍 Toronto