Senior Compliance Officer

What is the Opportunity?

As Senior Compliance Officer for the Standard of Care and Sales Practice Oversight Team (SOC Team), you will provide oversight and monitoring over the RBC Wealth Management Private Client Group's (PCG) execution of its supervisory program as a Broker Dealer, Investment Advisor and ERISA Investment fiduciary in accordance with the Firm's Standard of Care Policy.

What will you do?

• A SOC Team Senior Compliance Officer conducts sample based monitoring reviews, as trained, supported and led by Compliance Associate Director, using a variety of exception reports and automated surveillance system alerts to oversight the Firm's first line of defense supervision program and controls.

• Detect and escalate potential negative trends and isolated issues at national, regional, locational, advisor and/or product sales practice levels that could lead to risk or harm to client and the Firm

• Identify through monitoring activities, 1LOD control weaknesses, and deliver control enhancement recommendations to 1LOD control owners.

• Support leadership in evaluation and response.

• Proactively engage and maintain relationships with business partners to provide compliance oversight and governance over the implementation of 1LOD control enhancements in accordance with regulatory requirement and RBC's risk and control requirements.

• Develop creative solutions for the business that are consistent with FINRA, SEC and State rules, regulations, and guidance.

• Continuously learn by researching and maintaining industry connection on emerging compliance product issues - regulatory areas of concern, announced focus, enforcement focus, etc.

• Build meaningful relationships with partners across the organization.

What do you need to succeed?

• Bachelor's Degree or at least 5 years of relevant compliance related experience

• Series 7 or willingness to obtain

• Ability to communicate effectively both verbally and in writing

• Critical thinking, problem identification, and resolution skills

• Capability to build and maintain relationships with others

Nice to Have

• Series 24

• State Insurance License

• Series 65 or 66

• Graduate degree

• Programming language experience e.g. SQL

• Familiarity with RBC platform and offerings

• Technical knowledge of laws and regulations governing retail broker-dealers and investment advisors product solutions

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 include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.

• 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.

• Opportunities to do challenging work.

• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $65,000-$115,000 (Minnesota), depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC's high-performance culture

• Enables collective achievement of our strategic goals

• Generates sustainable shareholder returns and above market shareholder value

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Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.