Associate Director of Wealth Management Surveillance

Lead the RBC Compliance Surveillance Team as an Associate Director focusing on Wealth Management. Ensure effective monitoring for regulatory compliance and risk mitigation in a full-time role based in Toronto.

In this pivotal position, you will guide a robust surveillance program aligned with CIRO Rules and RBC Policies for Wealth Management. You will oversee Tier 2 reviews, identify risk trends, and enhance current models. Additionally, you will work closely with IT to fortify systems that support compliance efforts across retail businesses.

Key Responsibilities: • Oversee surveillance program compliance with regulations • Conduct Tier 2 monitoring of sales practices • Identify financial and reputational risk areas • Collaborate to develop surveillance policies • Report on surveillance program status and risks

Requirements: • 5-7 years in financial services or regulatory roles • 2 years of management experience preferred • Strong understanding of retail regu...