Job Title:Director, Regulatory Investigations and Inquiries

What is the opportunity?

To lead a team of compliance professionals, who provide highly specialized support and advice to the Wealth Management Canada business in relation to regulatory inquiries, regulatory proceedings, internal investigations and regulatory investigations with a view to mitigating regulatory and reputational risk for RBC.

What will you do?

  • Provide substantive regulatory advice with respect to regulatory inquiries and/or proceedings involving the Wealth Management Canada business and its employees.
  • Provide strategic advice to executives and senior management in order to mitigate regulatory and reputational risk within the Wealth Management Canada business.
  • Coordinate, provide and present reporting to executives and senior management within the Wealth Management Canada business.
  • Coordinate and lead complex internal investigations to determine whether there has been a breach of any RBC policies and/or regulatory requirements and to consider all appropriate measures to remediate any issues identified, including any corrective actions required.
  • Provide management oversight, leadership and mentorship to Compliance team members.
  • Collaborate with functional partners and other Compliance members on complex cross-border investigations and regulatory proceedings.
  • Design, develop, and implement policies and/or procedures relating to regulatory investigation and inquiries, including and necessary training material.
  • Liaise with securities regulators, including, the provincial securities commissions, the Investment Industry Regulatory Organization of Canada and La Chambre de la sécuritéfinancière.

What do you need to succeed?

Must-Have:

  • University degree (preference in business, finance, economics, law or accounting).
  • Demonstrated expertise and knowledge of the Securities industry, compliance practices, and reguatory requirements.
  • Strategic mindset, with excellent knowledge and understanding of retail securities businesses.
  • A minimum of 10 years of experience in the financial services industry or servicing the financial servicing industry as a professional.
  • A minimum of 5 years of experience leading and coordinating investigations.
  • Demonstrated ability to manage conflict, negotiate, and influence decision making when dealing with staff, business partners, and key stake holders.
  • Ability to effectively manage projects and identify where efficiencies and costs can be realized.
  • Proven leadership in managing people, projects, and establishing policies and procedures.
  • Effective at delivering on short-term priorities while maintaining a long-term focus.
  • Excellent written and oral communication skills, including public speaking.
  • Excellent interpersonal skills with strong client service focus.
  • Adaptive to driving and responding to change management.
  • Proven ability to multi-task in a demanding environment.

Nice to Have:

  • Completion of securities industry related education, including the Canadian Securities Course (CSC) and the Conducts and Practices Handbook (CPH).
  • Fluency in French is an asset.

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

  • A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Opportunity to make a difference and have a lasting impact
  • Flexible work/life balance options
  • Work in a dynamic and challenging work environment with a collaborative, progressive, and high-performing team

Please forward your word format cv and cover letter to under the subject heading :Director, Regulatory Investigations and Inquiries/IIAC

About RBC
Royal Bank of Canada is Canada’s largest bank, and one of the largest banks in the world, based on market capitalization. We are one of North America’s leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis. We have over 80,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 37 other countries. For more information, please visitrbc.com.

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Inclusion and Equal Opportunity Employment
RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors. Disability-related accommodations during the application process are available upon request.