RBC Dominion Securities
Director, Wealth Management Canada Compliance
Job Description
Director, RBC Wealth Management Canada Compliance As Director of RBC Wealth Management Canada Compliance, you will play a key leadership role in supporting RBC Dominion Securities Inc. (Retail) (RBC DS), Canada’s largest investment dealer and wealth management firm. Your mandate includes people management, advisory inquiries, complaint handling, regulatory change management, monitoring, internal and external audits, policy and procedure development, and compliance training.
Responsibilities
Manage a team of Compliance Managers supporting RBC DS branches across the country.
Address and support client complaints and internal and external investigations.
Act as the key Compliance representative on significant regulatory changes affecting RBC DS (e.g., CIRO, CSA): review, interpret, and apply rules and amendments; provide comments on proposed rules and consultations; participate in industry working groups; complete gap assessments against new and amended...
Responsibilities
Manage a team of Compliance Managers supporting RBC DS branches across the country.
Address and support client complaints and internal and external investigations.
Act as the key Compliance representative on significant regulatory changes affecting RBC DS (e.g., CIRO, CSA): review, interpret, and apply rules and amendments; provide comments on proposed rules and consultations; participate in industry working groups; complete gap assessments against new and amended...