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...