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Compliance Manager, RMFI Compliance


This is a Contract position in Montreal, QC posted November 20, 2020.

What is the opportunity?

As Compliance Manager, you will assist the Senior Manager, Royal Mutual Funds Inc.

(RMFI) Compliance in providing compliance oversight, advice and training with respect to mutual fund sales and financial planning activities conducted by licensed staff in branches and sales teams (including retail branches, Private Banking and Career Sales).

The Region you will support includes Quebec, Atlantic Provinces, Ontario North East, and all Advice Centers and Hubs.

What will you do?

Acts as the lead for the client complaint resolution process Provides support to the Senior Manager in the delivery of expert advice to the Regional President, Regional Operating Officer and Regional Vice Presidents in the Region Acts as the subject matter expert and primary source for ongoing compliance advice to all branch managers and sales managers (i.e.

BCOs) and licensed salespeople in the region Supports the Senior Manager in providing input to the Chief Compliance Officer about the application, development and amendment of national policies and procedures for mutual fund sales and financial planning Responsible for the front office compliance training program on behalf of RMFI Compliance.

Accountabilities include preparation / review of educational material and coordination of training by Compliance staff via virtual channels.

Maintains awareness of policy and business initiatives to enable oversight of the training that is being done and identifying any training needs
– for the field as well as Compliance peers.

Assists in building a culture of innovation through the review of processes and the use of emerging technologies and methodologies.

What do you need to succeed?

Must-have Strong knowledge of securities or mutual funds and the securities industry as a result of being licensed as a dealing representative/experience in the investment industry or having held a head office securities, mutual fund or financial planning sales/business support or compliance position Strong communications skills, both verbal and written, in French and English Canadian Securities Course or the IFIC Canadian Investment Funds CourseExcellent organizational skills and attention to detail Proficiency with Microsoft Office Nice-to-have Financial Planning designation Training, coaching or teaching skills and experience with data gathering and analysis Experience with complaints to an Ombudsman organization Proficiency with Tableau software 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 including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable Leaders who support your development through coaching and managing opportunities Ability to make a difference and lasting impact Work in an agile, collaborative, progressive, and high-performing team The opportunity to interface with senior level executives from many different parts of the organization REGCOMP19 JOB SUMMARY City: Montreal Address: 1 Place Ville Marie Work Hours/Week: 37.5 Work Environment: Your Home Office Employment Type: Permanent Career Level: Experienced Hire/Professional Pay Type: Salary Variable Bonus Position Level: PL08 Required Travel(%): 0 Exempt/Non-Exempt: N/A People Manager: No Application Deadline: 11/19/2020 Req ID: 291404