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Supervisory Risk Principal

RRoyal Bank of Canada
Royal Bank of Canada - Minneapolis,Royal Bank of Canada - Chicago,Royal Bank of Canada - San Diego
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Description

The Supervisory Risk Principal – Complex Products plays a crucial role in enabling RBC Wealth Management to confidently expand its business while adhering to risk appetite, firm culture, and regulatory standards. This position involves developing advanced supervisory solutions and serves as a critical first line of defense to protect the RBC WM brand and manage risks associated with activities conducted by complex/branch employees and clients. The role also involves identifying problematic activities early, ensuring corrective action, and partnering with leadership to enhance the firm’s supervisory program for increased efficiency and effectiveness.

What We're Looking For

Serve as a subject matter expert on the firm's policies and procedures.,Perform daily, weekly, and monthly supervision of complex product transactions and strategies in client accounts.,Assist with the design, implementation, and ongoing monitoring of supervisory activities for various Complex Product lines.,Identify issues and adapt priorities to meet business unit needs.,Effectively assess and respond to risks to the firm.,Maintain comprehensive knowledge of investment products, strategies, and their suitability.,Maintain expertise on characteristics and features of complex product strategies, their performance drivers, and benefits.,Stay updated on industry trends and focus areas to ensure appropriate supervisory practices for Complex Products.

Ideal Candidate

College degree.,3-5 years of directly related financial services industry experience.,Series 7 license.,Series 63/65 or 66 license.,Series 9/10 license.,Series 24 license.,Life, Accident, Health and Variable Annuity/Insurance License preferred.

Minimum Education

College degree

Hard Skills

Audits Compliance
Data Gathering Analysis
Financial Regulation
Industry Knowledge
Risk Management

Soft Skills

Critical Thinking
Decision Making
Detail-Oriented
Interpersonal Relationship Management
Strategic Thinking
Strong and proven verbal and written communications skills
Strong inter-personal skills
Influence skills
Ability to develop and maintain good working relationships
Ability and temperament to handle difficult people, situations and conflict
Strong decision-making
Ability to work through difficult and time-sensitive problems and issues
Objective approach to supervisory decisions
Teamwork
Collaboration
Organizational skills
Creative problem-solving
Ability to identify gaps/weaknesses in existing systems and processes and implement upgrades/changes

Work Hours

40 hours/week

Benefits

Competitive compensation
Flexible benefits
401(k) program with company-matching contributions
Health insurance
Dental insurance
Vision insurance
Life insurance
Disability insurance
Paid-time off
Development support from leaders (coaching and managing opportunities)
Opportunity to make a difference and lasting impact
Dynamic, collaborative, progressive, and high-performing team environment
Opportunities for challenging work
Opportunities to build close relationships with clients

Also Available At

About the Company

R

Royal Bank of Canada

Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. As Canada's largest bank, it provides personal and commercial banking, wealth management, and capital markets services to over 17 million clients worldwide.

Purpose-driven
Inclusive
Innovative
Collaborative
Professional
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