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RBC

Associate Director - Operational Excellence - Client Lifecycle Management (CLM)

Toronto, ON, Canada

Full-time

Apply About employer

Applications open in a new tab.

Job details

Job type: Full-time
Apply by: Nov 19, 2026
Posting language: English
Posted: Nov 4, 2026

Original job description

Job Description

What is the opportunity?

The Operational Excellence Associate Director drives execution of audit remediation activities and operational excellence initiatives within the Client Lifecycle Management pillar. This role serves as a primary "doer" embedded within CLM operations, responsible for executing audit responses, managing action plans, and implementing control improvements. Unlike a governance function, this role maintains accountability into CLM Pillar heads for work execution and prioritization, ensuring audit requirements translate into concrete operational improvements.

The Associate Director coordinates audit responses across regulatory examinations, manages compliance-related documentation, and ensures sustainability of implemented controls. This position bridges the centralized Audit Engagement team and day-to-day CLM operations, ensuring timely resolution of identified issues while preventing recurring deficiencies.

What will you do?

Audit Response Planning & Execution

Coordinate with 1st, 2nd line and 3rd line groups on review & exam scheduling and work planning
Participate in quarterly advance planning sessions to anticipate regulatory examination cycles
Support centralized intake management by providing pillar-level resource availability and capacity
Maintain work inventory and prioritize activities aligned with internal review and external regulatory exam timelines
Serve as the primary point of contact for assigned audit areas; coordinate directly with CLM Pillar heads & Head of Operational Excellence on work scope and priorities
Develop detailed audit response narratives with supporting documentation, process maps, and data samples
Track and manage audit action plans from initiation through completion and validation
Maintain audit-ready documentation with clear evidence of control effectiveness and remediation status
Respond to auditor inquiries and follow-up requests within agreed timelines

Control Assessment, Design & Governance

Identify control gaps and design preventive or detective controls aligned with operational risk and regulatory expectations
Recommend process improvements to CLM Pillar heads with supporting business cases
Participate in self-identified issues management (EIM) to document and remediate deficiencies
Support RCSA (Risk Control Self-Assessment) reviews and attestation processes
Chairing and Coordination of CLM Monthly Risk and Control Forum.
Perform periodic analysis of OREs, Breaches & Complaints to drive strategic remediation
Coordinate with 1LODb & 2LOD teams to review CLM specific training requirements

Regulatory and Compliance Knowledge

Maintain current knowledge of regulatory expectations in regulatory exams, KYC/AML requirements
Work with the CLM Leadership & Head of Operational Excellence to translate regulatory findings into operational remediation activities
Support privacy impact assessments, operational resilience reviews, BIA/BCP plan updates & Intragroup Outsourcing Documentation
Ensure compliance with regulatory examination protocols and timelines
Escalate emerging regulatory trends or examination focus areas to CLM leadership

Issue Management and Sustainability

Ensure comprehensive documentation of identified issues, root causes, and remediation plans
Assess sustainability of implemented controls and recommend enhancements
Monitor duplicate issue identification and coordinate resolution with central audit team
Track remediation metrics and provide status updates to CLM Pillar heads
Identify systemic risks requiring structural or process-level changes

Decision Making

Determines scope of audit response work and required supporting documentation; prioritizes remediation activities in consultation with CLM Pillar heads and central audit team
Assesses control design and operating effectiveness; recommends process improvements and enhanced control procedures
Makes go/no-go decisions on completeness and accuracy of audit response documentation before submission
Escalates emerging regulatory expectations or examination risks to Head of Operational Excellence and CLM Pillar heads
Prioritizes work activities based on regulatory examination timelines and pillar operational capacity

Execution

Recommends specific remediation actions and control enhancements to CLM Pillar heads and process owners
Advises on regulatory examination preparation and required evidence packages
Suggests process improvements to reduce audit findings and control deficiencies
Recommends resource allocation and timeline adjustments based on examination complexity and scope

What do you need to succeed?

Must have:

Minimum 3-7 years in regulatory examination response, KYC/AML compliance, or Client Due Diligence functions
Bachelor’s degree in Finance, Law, Compliance, Business Administration, or related field
Direct experience with regulatory exams (National Futures Association, FINRA, SEC, or OCC preferred) or equivalent international regulatory frameworks
Strong understanding of AML/KYC processes, client data governance, and regulatory requirements
Demonstrated ability to interpret regulatory expectations and translate into operational remediation activities
Proven execution track record in completing audit responses and remediation activities

Nice to have:

Prior experience in 1st or 2nd line compliance, risk, or audit functions
Compliance, anti-money laundering, or financial regulatory certifications (AML, KYC, CAMS, CIP, or equivalent)
Exposure to operational resilience frameworks, BIA/BCP, or privacy impact assessment processes
Experience with process improvement, control design, or operational risk management
Familiarity with trading operations, client onboarding, or KYC platforms
Advanced Microsoft Office Suite (Excel, PowerPoint, Word, Visio); data management and reconciliation
Strong written and verbal communication; ability to explain complex control designs to auditors and operational teams
Detail-oriented with ability to manage multiple overlapping audit requirements and timelines
Problem-solving mindset with focus on practical, sustainable solutions
Ability to work collaboratively with pillar heads, risk, compliance, and auditors
Time management and ability to balance audit response demands with BAU operational activities

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
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
Flexible work/life balance options

Job Skills

Adaptability, Business Appraisals, Business Process Design, Decision Making, Effectiveness Measurement, Interpersonal Relationship Management, Long Term Planning, Operational Delivery, Organizational Change Management, Process Management

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CAPITAL MARKETS

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2026-11-04

Application Deadline:

2026-11-19

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.

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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</a/span>

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.

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More about this job

Responsibilities

Execute audit responses and remediation plans across Client Lifecycle Management, coordinating with auditors, compliance teams, and CLM leadership to meet regulatory timelines. Assess and improve controls, maintain audit-ready evidence, monitor issue sustainability, and translate regulatory findings into practical operational changes.

Requirements

Requires 3–7 years of experience in regulatory examination response, KYC/AML compliance, or Client Due Diligence, along with a bachelor's degree in a relevant field. Candidates should have direct regulatory exam experience or equivalent, strong knowledge of AML/KYC and regulatory requirements, and a proven record of completing audit responses and remediation.

Skills

Regulatory Examination Response
KYC/AML Compliance
Client Due Diligence
Audit Response Execution
Remediation Planning
Control Design
Operational Risk Management
Risk Control Self-Assessment
Issue Management
Regulatory Compliance
Process Improvement
Operational Resilience
Privacy Impact Assessment
Business Continuity Planning
Audit Documentation
Stakeholder Coordination

Benefits

Bonuses
Flexible Benefits
Competitive Compensation
Coaching and Development Opportunities
Flexible Work-Life Balance Options

Visa sponsorship

Not detected in the job text

Keywords

Client Lifecycle Management
Regulatory Examinations
Audit Response
Audit Remediation
KYC
AML
Client Due Diligence
Operational Excellence
Operational Risk
Control Design
Control Effectiveness
Risk Control Self-Assessment
Enterprise Issue Management
Regulatory Compliance
Privacy Impact Assessment
Operational Resilience
Business Impact Analysis
Business Continuity Planning
Intragroup Outsourcing
Process Maps
Root Cause Analysis
Microsoft Excel
Microsoft PowerPoint
Microsoft Word
Microsoft Visio
CAMS
CIP
FINRA
SEC
OCC

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