Director, Regulatory Investigations & Inquiries

Job Description

WHAT IS THE OPPORTUNITY?The Director of Regulatory Investigations and Inquiries plays a key leadership role on the Regulatory Complaints, Investigations and Inquiries (RCII) team, primarily supporting RBC Dominion Securities Inc. (Retail and Capital Markets), Royal Mutual Funds Inc. and RBC Direct Investing. The Director manages a team of compliance professionals who support regulatory investigations - both external and internal - and inquiries (requests for information, case assessments, production orders, etc.) covering conduct and trading matters. The Director is responsible for providing substantive regulatory advice to mitigate risk, ensuring compliance with regulatory rules, overseeing and managing timely and accurate reporting and assisting in the identification of root cause and resolution. The Director works closely with the broader RCII team, Chief Compliance Officers, Compliance Advisory teams, Law Group and other subject matter ex...