What are the responsibilities and job description for the Officer, Compliance Sr position at RBC Capital Markets, LLC?
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Job Title
Job Description
What is the opportunity?
The purpose of this role is to provide regulatory and compliance oversight and guidance to RBC Wealth Management -Product Compliance provide compliance guidance to business partners designed to enhance the compliance program for both new and existing products, strategies, and product positioning. Proactively engage and maintain relationships with business partners to support issues and initiatives in compliance with regulatory expectations (Primarily FINRA, SEC, State Insurance and Annuity rules and regulations) and RBC's brand, reputation and risk appetite.
What will you do?
Risk Oversight
- Guardian/ambassador of RBC brand and reputation
- Timely risk identification, communication and management of risks and initiatives supported by RBC Wealth Management- Product Compliance business lines inclusive of use of knowledge and skills obtained through experience, specialized training and/or certification in insurance and securities industry to review compliance with securities and insurance rules and regulations. Products include: Fixed and Variable Insurance and Annuities, Mutual Funds, ETFs, 529s, Cash Products.
- Provide complete and sound answers and solutions aligned with compliance leadership
Problem-Solver
- Tailor solutions to business strategy consistent with regulations typically inclusive of FINRA, SEC, State Insurance and Annuity rules and guidance
- Research and maintain industry connection to emerging compliance product issues - regulatory areas of concern, announced focus, enforcement focus etc.
What do you need to succeed?
Must-have
- Build and ability to maintain relationships at all levels
- Evaluate enterprise implications of our positions to our business before engaging
- Ambassador for radical candor - soliciting and giving constructive feedback
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 and flexible benefits, competitive compensation, commissions, and stock where applicable
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Work in a dynamic, collaborative, progressive, and high-performing team
- Flexible work/life balance options
- Opportunities to do challenging work
- Opportunities to take on progressively greater accountabilities
- Access to a variety of job opportunities across business
Job Summary
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Inclusion and Equal Opportunity Employment
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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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