Manager, Compliance Testing
Job Summary
Job Description
What is the opportunity?
As an integral member of the Compliance Shared Services team, the Manager, Compliance Testing will help to support the local Chief Compliance Officers in fulfilling their responsibilities defined under the RBC Regulatory Compliance Management Framework. Such roles will include; Assessing the adequacy of, adherence to and the effectiveness of the day-to-day controls to manage regulatory compliance risk; Providing an opinion on the effectiveness of the Regulatory Compliance Management (RCM) controls in achieving compliance with applicable regulatory requirements.
What will you do?
- Assist in risk-based scope determinations to drive the Canada Compliance Testing Plan.
- Conduct and deliver timely and accurate compliance testing reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk across all Canada Business Segments.
- Work with Compliance and business colleagues to track and advise (where required) on the appropriateness of actions plans to resolve issues identified during testing activities.
- Contribute to Compliance Testing Data Analytics, including analysis of controls and other common data elements.
- Support the continual enhancement of the Compliance Testing program, including ongoing development of the approach to continuous business monitoring and, where relevant, enhancing the existing Enterprise Monitoring and Testing control standards.
- Assist in the delivery of timely responses to Internal Audit and external regulatory enquiries.
- Support ad-hoc projects and activities as required (methodology improvements, stakeholder management, committee reporting, global coordination).
What do you need to succeed?
Must-have
- Direct regulatory compliance, risk management and/or internal audit experience with financial institution, supporting a Canadian business segment (banking, wealth management, insurance, capital markets, institutional custody banking)
- Generalist across multiple compliance subject areas, e.g. surveillance, advisory, monitoring & testing, branch review, complaint handling and internal investigations, regulatory reporting
- Strong knowledge of industry best practices relating to regulatory compliance risk management
Nice-to-have
- Intermediate to advanced Excel user
- Data analysis experience
What's in it for you?
- A comprehensive Total Rewards Program including bonuses and flexible benefits and competitive compensation
- Leaders who support your development through coaching and managing opportunities
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
Job Skills
Audits Compliance, Business Monitoring, Compliance Testing, Critical Thinking, Data Analysis, Internal Auditing, Internal Controls, Product Services, Regulatory Compliance ManagementAdditional Job Details
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