Royal Bank of Canada

Compliance Manager, Regulatory Complaints - 6 Month Contract (Possible Extension)

Royal Bank of Canada • $85K — $100K *
Vancouver, BC V5K 5J9In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • University degree preferred in law, business, or finance
  • Knowledge of mutual fund dealers and investment dealers
  • Familiarity with CIRO rules
  • Experience in a regulatory environment, particularly in complaint management
  • Strong written and oral communication skills
  • Client-centric interpersonal skills
  • Analytical skills and ability to multi-task effectively
  • Strong organizational skills

Responsibilities

  • Investigate regulatory complaints related to RMFI
  • Gather and evaluate documentation and evidence for investigations
  • Analyze regulations, policies, and procedures for compliance
  • Document investigation findings and prepare regulatory response letters
  • Collaborate with internal teams to resolve complaints and make recommendations
  • Communicate findings and issues to supervisors and senior management
  • Track ongoing complaints and ensure timely resolutions
  • Assist with special projects and initiatives for the RCII team

Benefits

  • Comprehensive Total Rewards Program including bonuses and flexible benefits
  • Support from leaders for professional development through coaching
  • Opportunities for challenging work
  • Possibility to take on greater responsibilities
  • Ability to make a lasting impact within the organization
Full Job Description
Job Description

What is the opportunity?

The Compliance Manager on the Regulatory Complaints, Investigations and Inquiries (RCII) team will primarily be responsible for complaint management and investigation related to Royal Mutual Funds Inc. (RMFI).

What will you do?
  • Investigate regulatory complaints applicable to RMFI. This includes reviewing and analyzing documentation and evidence to identify non-compliance.
  • Gather and evaluate documents, statement of events, and other relevant evidence for investigation.
  • Analyze the regulatory requirements, policies and procedures to identify non-compliance.
  • Document investigative analysis and findings including writing substantive response letters and reporting through the CIRO Complaints and Settlement Reporting System (ComSet)
  • Work with Compliance, the branch managers/branch compliance officers and other internal teams to understand the details of the matter, respond to the regulatory complaints, aid in the resolution of complaints and make recommendations relating to the investigation findings.
  • Effectively communicate findings, root cause and escalated issues to supervisor and other senior management.
  • Track and manage ongoing complaint and other regulatory investigations, ensuring timely resolution and proper documentation.
  • Based on findings, make recommendations to prevent repeat issues/future complaints and ensure compliance with applicable laws and regulations.
  • Other initiatives - assisting on special projects, ongoing initiatives and other work to support the RCII team, RBC Compliance and RBC.


What do you need to succeed?

Must-have:
  • University degree (preference law, business, finance)
  • Knowledge of mutual fund dealer and/or investment dealer
  • Knowledge of CIRO rules
  • Experience working in regulatory environment and knowledge of concepts relevant for regulatory complaints management
  • Excellent written and oral communication skills
  • Excellent interpersonal skills with strong client centric approach
  • Proven analytical skills
  • Proven ability to multi-task in a demanding environment
  • Strong organizational abilities
  • Motivated and can work independently within a team


Nice-to-have:
  • Completion of securities industry related education, including the Canadian Securities Course (CSC) or the IFIC Canadian Investment Funds Course, Branch Compliance Officers Course
  • Ability to read and write in French is an asset


What's in it for you?

  • 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
  • Opportunities to do challenging work
  • Opportunities to take on progressively greater accountabilities
  • Ability to make a difference and last impact


Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Contract (Fixed Term)

Pay Type:

Salaried

Posted Date:

2026-09-22

Application Deadline:

2026-10-06
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

About Royal Bank of Canada

Royal Bank of Canada Careers

Join the dynamic team at Royal Bank of Canada (RBC), a global leader in financial services and a company committed to excellence and innovation. At RBC, we offer a wide range of job opportunities that empower professionals to shape their career paths with leadership, diversity training, and continuous growth.

Work You’ll Do

At Royal Bank of Canada, we are not just hiring; we are building a culture of innovation and leadership. Our team members are at the forefront of the financial industry, driving transformation and delivering targeted solutions that meet the evolving needs of our clients and communities.

Explore Job Opportunities and Employment at RBC

Whether you are starting your career or looking to take it to the next level, RBC offers positions that challenge your skills and fuel your ambition. From entry-level positions to leadership roles, our job opportunities span across various functions and regions. Join us and be part of a team that values professional growth and diversity.

Internship and Professional Development

Kickstart your career with an internship at Royal Bank of Canada. Our internships provide invaluable hands-on experience, networking opportunities, and insights into the financial services industry. Interns at RBC gain the skills necessary to excel and are often considered for full-time positions within the company.

Benefits and Culture

At RBC, we prioritize the well-being and satisfaction of our employees. Our benefits package is designed to support our team members at every stage of their life and career. RBC’s culture is built on a foundation of respect, integrity, and responsibility, fostering an environment where everyone can thrive.

Career Growth and Innovation

We believe in nurturing the potential of our employees through continuous learning and career development programs. At RBC, you will find endless opportunities to grow professionally through on-the-job experiences, formal training programs, and leadership development initiatives. Our commitment to innovation means we are constantly seeking out new ideas and perspectives, making RBC a perfect place for those who aim to lead and innovate.

Diversity and Inclusion

Diversity is our strength. At Royal Bank of Canada, we are committed to building an inclusive workplace where every employee feels valued and respected. Our diversity training programs are designed to educate and inspire, creating a more inclusive and equitable workplace.

Join Our Team

Search open positions that match your skills and interests. We look for passionate, curious, creative, and solution-driven team players. Start your journey with RBC today and be part of a world-class team known for its commitment to client service, community involvement, and innovation.

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Personalize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities awaiting you at RBC. Explore the possibilities with Royal Bank of Canada, where your future is filled with potential and the path to success is paved with countless opportunities for professional and personal growth. Join us and shape not just your career but the future of the financial industry.
Learn more about Royal Bank of Canada
Size
86,007 employees
Market Cap
$130.3 billion
Industry
Finance & Insurance
5 Year Trend
+8.7%
NASDAQ
RY
* Ladders Estimates

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