What are the responsibilities and job description for the Compliance Remediation Manager position at RBC Capital Markets, LLC?
Job Summary
Job Description
What is the opportunity?
The Compliance Remediation Support role directly reports to the Head of U.S. Compliance Business Management with primary emphasis on providing expertise and assistance in managing Compliance remediation portfolio and ensuing timely closure of remediation efforts. In this role, the Remediation Support Program manager will liaise with GRC and the Compliance owners to build appropriate plans, track progress and escalate issues. The Remediation Support Manager will lead the monthly Compliance Review Forum, providing transparency into the current portfolio, spotlighting best practices and highlighting potential risks or issues to timely completion.
What will you do?
- Provide oversight for US Compliance remediation efforts including working with the Compliance Practices Group Issue Management team to develop targeted reporting
- Lead Issue Review Forum, helping to drive an Issue Management Culture while ensuring transparency of all issues across the group
- Interface with various Project Managers and issue owners to understand plans, determine current status and "pressure test" information provided.
- Manage portfolio of open issues, driving issue remediation teams toward timely success.
- Provide support for review of evidence prior to submission to GRC and Audit and in support of the Compliance Review Forum (CROF)
- Identifies possible opportunities for improvement in efficiency and effectiveness.
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
- Experience working and interfacing with regulators and audit partners
- Experience with operating in a highly matrixed environment
- Strong project management and organizational skills, with a high degree of attention to detail
- 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
Address:
City:
Country:
Work hours/week:
Employment Type:
Platform:
Job Type:
Pay Type:
Posted Date:
Application Deadline:
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.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
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
