Sr. Compliance Officer- Compliance Investigations

What is the opportunity?

The Senior Officer - Compliance Investigations is responsible for conducting internal investigations and reviews into potential violations of securities laws, firm policies and regulatory standards within the U.S. Wealth Management division of RBC Capital Markets LLC. The role is also responsible for conducting thorough and timely investigations into conduct-related matters including sales practice issues, employee misconduct, trade irregularities and escalated client complaints.

What will you do?

• Conduct comprehensive investigations into alleged/potential violations of firm policies, regulatory rules and securities laws involving registered representatives, supervisors and other employees.
• Gather evidence, conduct interviews, and draft clear and concise investigative reports, outlining findings and conclusions.
• Analyze data, documents, trade records, communications and other relevant information to assess potential misconduct.
• Work closely with compliance, legal and supervisory staff to assess risk and recommend control enhancements, disciplinary actions and/or corrective actions.
• Coordinate responses to regulatory inquires and audits related to investigations.
• Maintain accurate records and ensure timely documentation of all investigative steps.
• Ensure timely and accurate reporting associated with investigations.

What do you need to succeed?

Must-have

• FINRA Registrations (Series 7, 24, etc.) and knowledge of FINRA, SEC, and MSRB expectations, rules, and regulations
• Familiarity with Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer and investment adviser.
• Experience in compliance and supervision roles at a broker-dealer and investment adviser.
• Highly organized and analytical with excellent attention to detail
• Strong interpersonal and communication skills (both written and verbal) including ability to communicate issues professionally and effectively, while using discretion with sensitive and confidential data
• Agile performer with a strong ability to prioritize and multitask between initiatives in dynamic environment

Nice-to-have

• Masters Degree or Law Degree
• CFP, CFA or equivalent designation

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 $80,000-$115,000, 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

Job Skills

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.