Compliance Manager, Regulatory Complaints & Investigations
Top Benefits
About the role
Job Description
WHAT IS THE OPPORTUNITY?
As a Compliance Manger, you will be a member of the Regulatory Complaint, Investigation & Inquiries (RCII) team that supports Royal Mutual Funds Inc. (RMFI), RBC Dominion Securities (RBC DS) and other RBC registered firms. You will primarily be responsible for complaint management and investigation related to RMFI regulatory complaints.
WHAT WILL YOU DO?
- Investigate regulatory complaints related to failure to follow laws and regulations applicable to Royal Mutual Funds (Canada) Inc. and other RBC registered firms. 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 clearly and concisely, including writing substantive response letters and reporting through the CIRO Complaints and Settlement Reporting System (ComSet)
- Work with Compliance, the branch compliance officers and other internal teams to understand and response to the regulatory complaints and aid in the resolution of complaints.
- Effectively communicate findings, root cause of complaint matters and escalated issues to supervisor and other senior management.
- Track and manage ongoing investigations, ensuring timely resolution and proper documentation.
- Based on findings, make recommendations to prevent future complaints and ensure compliance with applicable laws and regulations.
WHAT DO YOU NEED TO SUCCEED?
Must have:
- University degree
- Experience working in regulatory environment and/or knowledge of concepts relevant for regulatory complaints management
- Excellent written and oral communication skills
- Motivated and can work independently within a team
- Strong organizational abilities
- Ability to deal with new or unfamiliar situations
- Excellent interpersonal skills
- Ability to collaborate and build relationships within RCII, Compliance and business partners
- Proven ability to prioritize and multi-task in a demanding environment
- Bilingualism (English and French) required, as you will regularly serve our clients and do business with RBC partners and/or employees across Canada with English and French speaking needs.
Nice-to-have:
- Canadian Securities Course or the IFIC Canadian Investment Funds Course
- Branch Compliance Officers Course
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
- A world-class training program in financial services
- Flexible work/life balance options
- Opportunities to do challenging work
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:
2026-04-01
Application Deadline:
2026-05-01
Note**:**Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Our Employment Opportunities
At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.
Not the right fit? Search for Compliance Manager, Regulatory Complaints & Investigations jobs in Toronto, ON
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.
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Compliance Manager, Regulatory Complaints & Investigations
Top Benefits
About the role
Job Description
WHAT IS THE OPPORTUNITY?
As a Compliance Manger, you will be a member of the Regulatory Complaint, Investigation & Inquiries (RCII) team that supports Royal Mutual Funds Inc. (RMFI), RBC Dominion Securities (RBC DS) and other RBC registered firms. You will primarily be responsible for complaint management and investigation related to RMFI regulatory complaints.
WHAT WILL YOU DO?
- Investigate regulatory complaints related to failure to follow laws and regulations applicable to Royal Mutual Funds (Canada) Inc. and other RBC registered firms. 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 clearly and concisely, including writing substantive response letters and reporting through the CIRO Complaints and Settlement Reporting System (ComSet)
- Work with Compliance, the branch compliance officers and other internal teams to understand and response to the regulatory complaints and aid in the resolution of complaints.
- Effectively communicate findings, root cause of complaint matters and escalated issues to supervisor and other senior management.
- Track and manage ongoing investigations, ensuring timely resolution and proper documentation.
- Based on findings, make recommendations to prevent future complaints and ensure compliance with applicable laws and regulations.
WHAT DO YOU NEED TO SUCCEED?
Must have:
- University degree
- Experience working in regulatory environment and/or knowledge of concepts relevant for regulatory complaints management
- Excellent written and oral communication skills
- Motivated and can work independently within a team
- Strong organizational abilities
- Ability to deal with new or unfamiliar situations
- Excellent interpersonal skills
- Ability to collaborate and build relationships within RCII, Compliance and business partners
- Proven ability to prioritize and multi-task in a demanding environment
- Bilingualism (English and French) required, as you will regularly serve our clients and do business with RBC partners and/or employees across Canada with English and French speaking needs.
Nice-to-have:
- Canadian Securities Course or the IFIC Canadian Investment Funds Course
- Branch Compliance Officers Course
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
- A world-class training program in financial services
- Flexible work/life balance options
- Opportunities to do challenging work
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:
2026-04-01
Application Deadline:
2026-05-01
Note**:**Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Our Employment Opportunities
At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.
Not the right fit? Search for Compliance Manager, Regulatory Complaints & Investigations jobs in Toronto, ON
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.