Regulatory intelligence leader monitoring global rules for Telix Pharmaceuticals, a precision radiopharmaceutical company. Translating regulatory developments into strategies, communications, and cross - functional actions.
About the role
- Compliance Manager investigating regulatory complaints for RBC mutual funds. Analyzing CIRO requirements, documenting findings, and supporting complaint resolution.
Responsibilities
- Investigate regulatory complaints applicable to Royal Mutual Funds Inc. (RMFI)
- Review and analyze documentation and evidence to identify non-compliance
- Gather and evaluate documents, statements of events, and other relevant evidence
- Analyze regulatory requirements, policies, and procedures
- Document investigative analysis and findings
- Write substantive response letters and report through the CIRO Complaints and Settlement Reporting System (ComSet)
- Work with Compliance, branch managers/branch compliance officers, and internal teams to understand matters and respond to regulatory complaints
- Aid in complaint resolution and make recommendations relating to investigation findings
- Communicate findings, root cause, and escalated issues to supervisors and senior management
- Track and manage ongoing complaint and regulatory investigations, ensuring timely resolution and proper documentation
- Recommend measures to prevent repeat issues and future complaints and ensure compliance with applicable laws and regulations
- Assist with special projects, ongoing initiatives, and other work supporting the RCII team, RBC Compliance, and RBC
Requirements
- 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
- Completion of securities industry related education, including the Canadian Securities Course (CSC) or the IFIC Canadian Investment Funds Course, Branch Compliance Officers Course (nice-to-have)
- Ability to read and write in French is an asset
Benefits
- 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
- Inclusive workplace based on respect, belonging and opportunity for all
- Policies and programs intended to foster workplace support, collaboration, innovation, and professional growth
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