Act as an Investment Compliance Approval Officer at RBC in Toronto, focusing on account documentation compliance and customer service. Contribute to seamless account operations in this full-time role.
This role involves reviewing new account applications to ensure they comply with CIRO and internal standards. You’ll work closely with operations and business teams to resolve inquiries, ensuring timely account activations. A passion for compliance and effective problem-solving is essential for success.
Key Responsibilities:
• Review documentation to maintain regulatory compliance
• Mentor teams on account policies and procedures
• Conduct eligibility assessments for margin and options
• Complete daily approvals within set timeframes
• Support initiatives enhancing operational effectiveness
Requirements:
• CIRO Supervisor Certification (valid required)
• At least 2 years investment industry experience
• Robust analytical skills and problem resolution capabilities
• Bachelor’s degree or equivalent educational background
• Understanding of securities industry and operations
Bring your investment knowledge and compliance expertise to RBC and make a difference.
#J-18808-Ljbffr