What are the responsibilities and job description for the Compliance Initiatives Manager position at RBC Capital Markets, LLC?
Job Summary
Job Description
What is the opportunity?
The Compliance Strategy and Execution Program role reports directly to the Head of U.S. Compliance Business Management with primary emphasis on providing support for execution and oversight of Compliance focused initiatives, assisting with the annual strategic planning process for the U.S. Compliance function and support for exams/ audits. In the role, the Strategy and Execution Manager will work directly with the Compliance leaders to provide oversight of the initiative portfolio, identify new initiatives and resourcing needs and directly manage initiatives as needed.
What will you do?
- Provide execution oversight for US Compliance initiatives, including leading and executing ad hoc initiatives and projects for the group
- Develop and maintain initiative management reporting for the US Compliance team ensuring on time delivery and escalating risks/issues
- Facilitate the design and development of the U.S. Compliance strategy and Annual Compliance Plan, including entity-specific processes where needed as well as reporting on status and success of initiatives
- Support regulatory inquiries, ongoing supervision, and exams in addition to audit or other reviews external to the team. Create standard templates
- Foster employee engagement culture across the US Compliance team supporting initiatives, driving participation in team events and recognition activities.
What do you need to succeed?
Must have:
- 7 - 10 years' experience in the financial services industry in Compliance, Legal Department or at a financial institutions regulator
- Strong project management and organizational skills, with a high degree of attention to detail
- Experience working and interfacing with regulators and audit partners
- Experience operating in a highly matrixed environment
- Ability to operate independently as well as collaboratively to generate solutions
Nice-to-have:
- Experience in a matrix environment, such as a large, publicly-traded corporation
- Ability to facilitate between and influence key decision makers
- Strategic thinker with excellent interpersonal skills to work across functions and businesses
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
- A world-class training program in financial services
- Flexible work/life balance options
- Opportunities to do challenging work
ROLES IN: NY, NJ, CA, CO, CA
The good-faith expected salary range for the above position is $110,000 - $190,000 depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs.This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.
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
#LI-POST
#LI-Hybrid
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic ThinkingAdditional Job Details
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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 embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
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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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 or any other legally-protected factors.
Salary : $110,000 - $190,000
