Job Description
Join RBC as a Surveillance Lead in Wealth Management, overseeing compliance for regulatory adherence and risk management. This full-time role in Toronto emphasizes leadership and strategic planning in a dynamic environment.Your role will focus on implementing an effective surveillance program while adhering to CIRO Rules and RBC Policies. You'll be responsible for managing Tier 2 reviews and establishing action plans against identified risks. This leadership position requires collaboration with IT to ensure systems enhance compliance across retail businesses.Key Responsibilities:
• Direct compliance surveillance for Wealth Management
• Ensure comprehensive Tier 2 monitoring is implemented
• Identify and mitigate relevant financial risks
• Develop and maintain up-to-date compliance procedures
• Provide detailed reports on surveillance program activitiesRequirements:
• 5-7 years in financial or regulatory institutions
• Minimum 2 years in a management role
• In-de...
• Direct compliance surveillance for Wealth Management
• Ensure comprehensive Tier 2 monitoring is implemented
• Identify and mitigate relevant financial risks
• Develop and maintain up-to-date compliance procedures
• Provide detailed reports on surveillance program activitiesRequirements:
• 5-7 years in financial or regulatory institutions
• Minimum 2 years in a management role
• In-de...