Officer, Compliance Sr
Come Work with Us! At RBC, our culture is deeply supportive and rich in opportunity and reward.
You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.
Whether you're helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.
Job Title Officer, Compliance Sr 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 Ensure that an organization's operations and procedures meet government and industry compliance standards.
Applies experience and seasoned knowledge, skills, and practices to perform a variety of assignments.
Address:
Minneapolis, Minnesota, United States of America City:
USA-MN-MINNEAPOLIS Country:
United States of America Work hours/week:
40 Employment Type:
Full time Platform:
Law and Compliance Job Type:
Regular Pay Type:
Salaried Estimated Salary: $20 to $28 per hour based on qualifications.
You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.
Whether you're helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.
Job Title Officer, Compliance Sr 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 Ensure that an organization's operations and procedures meet government and industry compliance standards.
Applies experience and seasoned knowledge, skills, and practices to perform a variety of assignments.
Address:
Minneapolis, Minnesota, United States of America City:
USA-MN-MINNEAPOLIS Country:
United States of America Work hours/week:
40 Employment Type:
Full time Platform:
Law and Compliance Job Type:
Regular Pay Type:
Salaried Estimated Salary: $20 to $28 per hour based on qualifications.
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