RBC
Associate Director of Wealth Management Surveillance
Job Description
Lead the RBC Compliance Surveillance Team as an Associate Director focusing on Wealth Management. Ensure effective monitoring for regulatory compliance and risk mitigation in a full-time role based in Toronto.
In this pivotal position, you will guide a robust surveillance program aligned with CIRO Rules and RBC Policies for Wealth Management. You will oversee Tier 2 reviews, identify risk trends, and enhance current models. Additionally, you will work closely with IT to fortify systems that support compliance efforts across retail businesses.
Key Responsibilities:
• Oversee surveillance program compliance with regulations
• Conduct Tier 2 monitoring of sales practices
• Identify financial and reputational risk areas
• Collaborate to develop surveillance policies
• Report on surveillance program status and risks
Requirements:
• 5-7 years in financial services or regulatory roles
• 2 years of management experience preferred
• Strong understanding of retai...
In this pivotal position, you will guide a robust surveillance program aligned with CIRO Rules and RBC Policies for Wealth Management. You will oversee Tier 2 reviews, identify risk trends, and enhance current models. Additionally, you will work closely with IT to fortify systems that support compliance efforts across retail businesses.
Key Responsibilities:
• Oversee surveillance program compliance with regulations
• Conduct Tier 2 monitoring of sales practices
• Identify financial and reputational risk areas
• Collaborate to develop surveillance policies
• Report on surveillance program status and risks
Requirements:
• 5-7 years in financial services or regulatory roles
• 2 years of management experience preferred
• Strong understanding of retai...