Job DescriptionWhat 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 AdvantageProvide 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 guidanceMonitor and act on regulatory proposals and rule changes, including participating in internal and industry working groupsManage key relationships with business and functional partnersReview and update Compliance policies and procedures periodically and as required due to changes to regulatory and/or business requirementsCoordinate RMFI Compliance response to regulatory reviews, internal and external auditsReview escalated issues involving Marketing and Sales Communications compliance reviewsResponsible 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 industryMinimum 10+ years of experience in the financial services industry, with CIRO regulatory compliance, risk and/or audit experienceAbility to converse effectively and diplomatically with individuals at all levelsInnovative self-starter who works well under pressureUniversity degree in business, finance, or related disciplineCanadian Securities Course or mutual funds licensing coursesNice-to-have:Partners, Directors and Senior Officers CourseConduct and Practices Handbook Course and/or Chief Compliance Officers Qualifying ExamWhat's in it for you?A comprehensive Total Rewards Program including bonuses and adaptable benefits, competitive compensation, commissions, and stock where applicableLeaders who support your development through coaching and managing opportunitiesAbility to make a difference and lasting impactWork in a dynamic, collaborative, progressive, and high-performing teamOpportunities to do challenging workJob SkillsAudits 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 GroupsJob DetailsAddress: RBC CENTRE, 155 WELLINGTON ST W, TORONTOCity: TorontoCountry: CanadaWork hours/week: 37.5Employment Type: Full timePlatform: CHIEF LEGAL & ADMIN OFFICE GRPJob Type: RegularPay Type: Salaried #J-18808-Ljbffr

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