Senior Manager, Controls & Oversight
Top Benefits
About the role
What is the opportunity?
Controls Management
- Acts as a strategic business partner & trusted advisor by identifying control and oversight needs to leadership in achieving our goals of managing risk effectively and efficiently.
- Lead complex controls focused engagements to drive quality assurance, control enhancements, including remediation of audit findings and mitigation in high-risk operational scopes.
- Establish best practices of the controls & oversight function including developing methodologies to perform the cost/benefit analysis on current controls or proposed controls.
- Ensure operations has the proper tools to drive control and scale to support the wealth management business, ensuring sustainable controls and processes. Provide leadership on the delivery of tools that support sustainable controls and processes.
- This position will provide superior analysis and judgement skills to mitigate operational risk and implement controls to appropriately meet external (Client, Regulatory) and internal (RBC enterprise, wealth business) expectations.
- Drive forward the design of effective controls in operational workflows, understanding end-to end process designs, identifying gaps and recommending enhancements for control effectiveness.
- Serve as a point of escalation for control matters related to wealth management operations.
- Work closely with business partners to proactively identify and document operational risks; follow through on identified risks to assess probability of the risk events and potential ramifications; ensure proper actions plans and controls are put in place to mitigate and manage such risks.
Regulatory Compliance & Audit:
- Ensure operational processes are compliant with relevant regulatory requirements, including CIRO, FATCA/CRS, OFSI, AML, and tax documentation standards.
- Assure readiness and strength in operational performance of WMCO audits; ensuring appropriate risks are mitigated, with duties including coordination and advisory services to ensure appropriate controls and related evidence is available and delivered in a timely manner.
- Participate in industry working groups to determine opportunities for implementing industry best practices specific to risk.
- Drives resolution of complex regulatory control matters, including remediation of events indicating requirements for increased strength of compliance
Other:
- Develop and deliver executive-level presentations, program updates; interact with senior-level executive leadership.
- Influence strategic decisions through risk-informed insights and proactive control design.
- Provide coaching, recognition, and development for WMCO team members, fostering a controls focused mindset across WMCO.
- Apply knowledge of industry trends, regulations, and technologies to long-term strategy for areas of responsibility and coordinate with other Operations and RBC departments.
- Serve as a key liaison between front-line operations and second/third line partners including Compliance, Enterprise Risk, and Internal Audit.
- Perform other duties and responsibilities as assigned.
What do you need to succeed?
Must Haves
Securities and financial markets experience
Experience in financial services, with a strong background in operations, risk management, finance or internal controls.
In-depth knowledge of wealth management processes, investment products, and Canadian regulatory landscape.
Experience with leading or interfacing directly with regulators and auditors.
Proven leadership in building control frameworks and driving cross-functional initiatives.
Strong analytical, investigative, and communication skills.
Excellent strategic thinking and understanding of operational processes.
Excellent collaboration and change leadership skills.
Demonstrated ability to operate efficiently in a fast-paced and changing environment and meet multiple deadlines.
Strong organizational skills and ability to prioritize activities to ensure objectives are met.
Fully proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
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
- Opportunities to do challenging work
- Opportunities to take on progressively greater accountabilities
- Access to a variety of job opportunities across business
Job Skills
Adaptability, Business Appraisals, Business Process Design, Decision Making, Effectiveness Measurement, Interpersonal Relationship Management, Long Term Planning, Operational Delivery, Organizational Change Management, Process Management
Additional Job Details
Address:
180 WELLINGTON ST W:TORONTO
City:
Toronto
Country:
Canada
Work hours/week:
37.5
Employment Type:
Full time
Platform:
WEALTH MANAGEMENT
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-11-17
Application Deadline:
2025-12-12
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
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.
Senior Manager, Controls & Oversight
Top Benefits
About the role
What is the opportunity?
Controls Management
- Acts as a strategic business partner & trusted advisor by identifying control and oversight needs to leadership in achieving our goals of managing risk effectively and efficiently.
- Lead complex controls focused engagements to drive quality assurance, control enhancements, including remediation of audit findings and mitigation in high-risk operational scopes.
- Establish best practices of the controls & oversight function including developing methodologies to perform the cost/benefit analysis on current controls or proposed controls.
- Ensure operations has the proper tools to drive control and scale to support the wealth management business, ensuring sustainable controls and processes. Provide leadership on the delivery of tools that support sustainable controls and processes.
- This position will provide superior analysis and judgement skills to mitigate operational risk and implement controls to appropriately meet external (Client, Regulatory) and internal (RBC enterprise, wealth business) expectations.
- Drive forward the design of effective controls in operational workflows, understanding end-to end process designs, identifying gaps and recommending enhancements for control effectiveness.
- Serve as a point of escalation for control matters related to wealth management operations.
- Work closely with business partners to proactively identify and document operational risks; follow through on identified risks to assess probability of the risk events and potential ramifications; ensure proper actions plans and controls are put in place to mitigate and manage such risks.
Regulatory Compliance & Audit:
- Ensure operational processes are compliant with relevant regulatory requirements, including CIRO, FATCA/CRS, OFSI, AML, and tax documentation standards.
- Assure readiness and strength in operational performance of WMCO audits; ensuring appropriate risks are mitigated, with duties including coordination and advisory services to ensure appropriate controls and related evidence is available and delivered in a timely manner.
- Participate in industry working groups to determine opportunities for implementing industry best practices specific to risk.
- Drives resolution of complex regulatory control matters, including remediation of events indicating requirements for increased strength of compliance
Other:
- Develop and deliver executive-level presentations, program updates; interact with senior-level executive leadership.
- Influence strategic decisions through risk-informed insights and proactive control design.
- Provide coaching, recognition, and development for WMCO team members, fostering a controls focused mindset across WMCO.
- Apply knowledge of industry trends, regulations, and technologies to long-term strategy for areas of responsibility and coordinate with other Operations and RBC departments.
- Serve as a key liaison between front-line operations and second/third line partners including Compliance, Enterprise Risk, and Internal Audit.
- Perform other duties and responsibilities as assigned.
What do you need to succeed?
Must Haves
Securities and financial markets experience
Experience in financial services, with a strong background in operations, risk management, finance or internal controls.
In-depth knowledge of wealth management processes, investment products, and Canadian regulatory landscape.
Experience with leading or interfacing directly with regulators and auditors.
Proven leadership in building control frameworks and driving cross-functional initiatives.
Strong analytical, investigative, and communication skills.
Excellent strategic thinking and understanding of operational processes.
Excellent collaboration and change leadership skills.
Demonstrated ability to operate efficiently in a fast-paced and changing environment and meet multiple deadlines.
Strong organizational skills and ability to prioritize activities to ensure objectives are met.
Fully proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
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
- Opportunities to do challenging work
- Opportunities to take on progressively greater accountabilities
- Access to a variety of job opportunities across business
Job Skills
Adaptability, Business Appraisals, Business Process Design, Decision Making, Effectiveness Measurement, Interpersonal Relationship Management, Long Term Planning, Operational Delivery, Organizational Change Management, Process Management
Additional Job Details
Address:
180 WELLINGTON ST W:TORONTO
City:
Toronto
Country:
Canada
Work hours/week:
37.5
Employment Type:
Full time
Platform:
WEALTH MANAGEMENT
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-11-17
Application Deadline:
2025-12-12
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
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.