Director, Wealth Management Canada Compliance

Overview

What is your opportunity?

As Director, RBC Wealth Management Canada Compliance, you will play a key leadership role in support of the RBC Dominion Securities Inc. (Retail) (RBC DS) business, Canada’s largest investment dealer and wealth management firm. You will be responsible for a broad mandate, which includes: people management, advisory inquiries, complaint handling, regulatory change management, monitoring, internal and external audits, policies and procedures and compliance training.

Responsibilities

• Manage a team of Compliance Managers who support RBC DS branches across the country.
• Address and provide support in respect of client complaints as required; and support internal and external investigations.
• Act as the key Compliance representative on significant regulatory changes that impact RBC DS (e.g., CIRO, CSA): Review, interpret and apply rules and rule amendments; provide comments on propose...