Compliance Analyst - Policy & Procedure Oversight
Job Description
What is the Opportunity?
This role is focused on providing Compliance risk oversight and advice related to RBC Wealth Management (RBC-WM) policies and procedures. The primary goal is to ensure that all policies and procedures are clear, well-implemented, and aligned with regulatory requirements and RBC's risk and control standards. The role requires a base understanding of regulatory requirements, strong knowledge of RBC's risk and control framework, and excellent relationship-building skills. The ideal candidate will be able to proactively identify and address policy and procedure control weaknesses, and develop clear and effective compliance-related content.
What will you do?
• Proactively engage and maintain relationships with business partners to provide compliance oversight and governance over the implementation of policies and procedures attendant to the compliance program in support of current and future products and services in accordance with regulatory requirement and RBC's risk and control requirements.
• Assess, monitor and, if applicable, escalate policy & procedure control weaknesses and support leadership in evaluation and response.
• Lead Compliance governance of policy and procedure reviews, coordinating all areas of Compliance review in which policy and procedure issues can be identified including Regulatory Updates, External Events, Issues Management, and Monitoring results.
• Oversee reporting of policy and procedure changes in coordination with 1LOD risk partners.
• Effectively communicate through approved RBC-WM internal communication channels (e.g. email announcements and intranet content) requirements of and/or changes to RBC Policies and the Compliance support resources available in a professional and approachable manner
• Ensure communications meet requirements of RBC, including record retention requirements
What do you need to succeed?
• Bachelor's Degree or 2 or more years of relevant experience
Nice-to-Have
• FINRA Series 7
• Professional communication writing experience
• Web creation and design 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.
• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• 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 build close relationships with clients.
The expected salary range for this particular position is $55,000-$95,000, depending on your experience, skills, and registration status, market conditions and business needs.
You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.
RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
• Drives RBC's high-performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
Additional Job Details
Address:
250 NICOLLET MALL:MINNEAPOLIS
City:
Minneapolis
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-12-02
Application Deadline:
2025-12-31
Note : Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
I nclusion and Equal Opportunity Employment
At 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.
