Supervisory Risk Principal

What is the opportunity?

As a Supervisory Risk Principal for the Business Supervision Group, you would conduct monitoring and surveillance activities to ensure business unit is in compliance with programs to prevent or identify illegal, unethical, or improper business practices. Applies extensive, in-depth knowledge, skills, and practices to perform complex assignments.

If you have strong interpersonal skills, enjoy working in challenging environment, and are looking for the next step in your career, we want to hear from you!

What will you do?

• Developing, initiating and revising procedures for conducting monitoring and surveillance activities relevant to business unit
• Conducting monitoring and surveillance activities relevant to business unit
• Identifying potential areas of compliance vulnerability and risk; developing corrective action plans for resolution of problematic issues and providing general guidance on how to avoid or deal with similar situations in the future
• Responding to alleged violations of rules, regulations, policies, and procedures by evaluating or recommending the initiation of investigative procedures

What do you need to succeed?

Must-have

• 7-10 years of industry related experience and 3-5 years of direct supervisory experience in a broker/dealer setup
• Series 7, 63/66, 65 and Series 8 or 9/10 or equivalent combination
• Excellent understanding of the stock market, investments and investment programs, comprehensive and in-depth knowledge of investment products and strategies and their suitability for clients based on investment objectives, risk tolerance and financials
• An understanding of the securities industry's regulatory environment and related policies and procedures
• Strong and proven verbal and written communications skills with strong inter-personal skills

Nice-to-have

• Bachelor's Degree and/or FINRA Series 4
• Ability to balance the need for identifying and resolving difficult sales practice violations with maintaining a strong professional partnership with field employees - especially field leadership (ability to be tough but fair)
• Detail orientated, strong organizational skills and strategic mindset with an ability to be creative in finding optimal solutions to problems
• Strategic mindset with ability to be creative in finding optimal solutions to problems

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 $65,000-$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.