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Director, Regulatory Risk - CAS

Expired Job

Royal Bank Of Canada Minneapolis , MN 55415

Posted 2 months ago

What is the opportunity?

As the Director, Regulatory and Compliance Risk for Correspondent and Advisor Services, (CAS) with RBC Wealth Management, you will be responsible for managing the regulatory/compliance and reputational risk functions for the business unit as well as strategic projects including strategic correspondent and RIA transitions to RBC as well as CAS and firm projects requiring business unit involvement. The position is also responsible for the coordination of internal and external audits including those performed by Internal Audit, FINRA, The SEC, and the external auditors. This position manages the individuals responsible for the functions and the adherence to firm and industry regulatory and risk requirements, interacts with senior management, business lines, and service providers to deliver on business line objectives and financial performance.

What will you do?

  • Manage the overall business risk to minimize financial, reputational, and regulatory exposure and work with internal RBC partners and external vendors as needed to introduce new products & services to the RBC CAS platform.

  • Identify new solutions working with CAS senior management, RBC personnel, and clients to identify and implement new products and services internally and to our clients.

  • Strive for continuous process improvement within the CAS business line through the use of technology and serve as a CAS subject matter expert as needed on CAS and firm projects and manage strategic firm transitions to RBC.

  • Identify opportunities to improve internal and external correspondent processes taking a leadership role in the development and implementation of these opportunities.

  • Manage the risk functions effectively and efficiently to minimize risk while balancing this objective with business unit growth objectives and encourage business line profitability growth through initiatives that maximize revenue growth or control costs.

  • Manage staff with focus on clear expectations, feedback and results for each person. Provide development opportunities for staff

  • Responsible for ongoing management of the department to include budget planning and monitoring, resource allocation, annual department planning and other management related concerns.

  • Continually provide process improvement in all areas of responsibility utilizing clear process systems and technology to provide accurate and efficient administration of all policies and procedures. Ensure strong customer service provided through department.

What do you need to succeed?


  • 7+ years management experience

  • Undergraduate degree

  • Series 7 and 24 licenses

  • Excellent PC Skills

  • Detail oriented

  • Excellent oral and written communication


  • 5+ years industry experience

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.

  • Client First: We will always earn the right to be our clients' first choice

  • Collaboration: We win as One RBC

  • Accountability: We take ownership for personal and collective high performance

  • Diversity & Inclusion: We embrace diversity for innovation and growth

  • Integrity: We hold ourselves to the highest standards to build trust

About RBC

Royal Bank of Canada is Canada's largest bank, and one of the largest banks in the world, based on market capitalization. We are one of North America's leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis. We have over 80,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 37 other countries. For more information, please visit

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Inclusion and Equal Opportunity Employment

RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors. Disability-related accommodations during the application process are available upon request.


City: Minneapolis

Address: 60 South 6th Street

Work Hours/Week: 40

Work Environment: Office

Employment Type: Regular - U.S.

Career Level: Experienced Hire/Professional

Pay Type: Salaried

Required Travel (%): 0-25

Exempt/Non-Exempt: Exempt

People Manager: Yes

Application Deadline: 11/30/2018

Req ID: 173968

Ad Code(s): None

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Director, Regulatory Risk - CAS

Expired Job

Royal Bank Of Canada