Manager, Regulatory Initiatives – DS & DSG
City : TORONTO, Ontario, Canada
Category : Strategy | Project & Program Management
Industry : Financial/Banking
Employer : RBC
What is the opportunity?
As Manager, Regulatory Initiatives for DS Global & Dominion Securities with Wealth Management Canada, you will plan, lead, and manage various initiatives through time sensitive and/or highly specialized processes ensuring regulatory compliance. You will work closely with the Wealth Digital & Data team, Product Owners, Compliance, Internal Controls, and other head office groups to improve various documentation workflows while mitigating regulatory risk. The successful incumbent will act as a business subject matter expert responsible for designing integrated, seamless, and highly intuitive processes that improve client and advisor experiences while ensuring adherence to regulatory requirements.
What will you do?
Responsible for review, interpretation, recommendation, and implementation of new processes and regulatory changes. Manage changes to policies, processes and controls based on a firm understanding of relevant regulations, coordinating with head office teams and partners. Monitor and assess impact of new process flows and regulations.
Lead and manage the “change management” implications of recommended changes. Communicate changes to senior management and Advisory teams impacted by a new initiative. Develop communications and training material for distribution, presentation and posting to intranet sites.
Provide leadership to identify any regulatory gaps and recommendations to minimize regulatory risk to the firm.
Develop and implement an Internal Controls framework for DS Global that fully complies with local regulations.
Establish and maintain credible, professional relationships with front office, business lines and head office partners to solicit and respond to their feedback while promoting an environment and reputation for collaboration.
Promote innovative, efficient &/or improved processes, within budget, and implements best practices. Actively seek out industry trends, competitive intelligence, and organization knowledge to understand alternative approaches / solutions.
Facilitate small to large meetings, prepares meeting agendas, and record minutes and action items.
What do you need to succeed?
Post-Secondary education and/or 3+ years of wealth management/regulatory experience with CIMA, CIRO, FINTRAC, FSC, SCB.
Minimum of 3 years' experience and knowledge of DS and/or DSG client account opening and client service processes and systems. (e.g., SalesForce, ServiceLink, Client Onboarding systems).
Excellent verbal and written communication, presentation, and interpersonal skills.
Results-driven, ability to assess and analyze situations, and make client solution centric decisions.
Ability to plan, execute work within a project management framework (e.g., RACI), using proven methods of gathering requirements to successfully complete projects with competing or tight deadlines.
Demonstrated experience in leading initiatives and adept in collaborating with multiple stakeholders. Applied knowledge of WMC business lines and culture.
Nice to Have
Advanced proficiency in Microsoft applications, especially Excel and PowerPoint
Proven leadership, creative problem-solving and change management skills.
Knowledge of tax programs relating to IRS and CRA.
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 SkillsCommunication, Consulting, Critical Thinking, Customer Relationship Management (CRM), Decision Making, Long Term Planning, Organizational Change Management, Problem Solving, Results-Oriented, Solutions Development
Additional Job Details
Inclusion and Equal Opportunity Employment
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