This Senior Manager position is responsible for establishing, executing, and supervising controls over FINRA covered and other regulatory client reporting operations
Job Summary
This Senior Manager position is responsible for establishing, executing, and supervising controls over FINRA covered and other regulatory client reporting operations.
The role involves collaborating with Compliance, WM Risk, and Legal teams to draft and execute risk policies and procedures while supporting client remediation efforts.
RBC offers a comprehensive Total Rewards Program including bonuses, flexible benefits, and opportunities for career growth in a dynamic and collaborative environment.
Matching Summary
This Senior Manager position is responsible for establishing, executing, and supervising controls over FINRA covered and other regulatory client reporting operations.
Salary
Base: $90,000 - $160,000; Bonus/Equity: Discretionary bonus and commissions; Benefits: 401(k) with company match, health, dental, vision, life and disability insurance, paid time-off
Skills & Requirements
Must-have
Controls over client reporting operations
Operational risk assessment
Regulatory compliance with FINRA
Risk and controls environment improvement
Client remediation and root cause analysis
Policy and procedure development
Nice-to-have
Leadership and mentoring skills
Change leadership and relationship management
Broker-dealer operations knowledge
Ability to multi-task under tight deadlines
Key Requirements
4-year degree or equivalent experience
5+ years securities, banking, or risk experience
Securities license 99 or ability to obtain within 120 days