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RBC

Compliance Manager, Regulatory Complaints - 6 Month Contract (Possible Extension)

Toronto, ON, Canada
Vancouver, BC, Canada

Job type: Full-time
Apply by: Oct 6, 2026
Posting language: English
Posted: Sep 22, 2026

Apply About employer

Applications open in a new tab.

Original job description

Job Description

What is the opportunity?

The Compliance Manager on the Regulatory Complaints, Investigations and Inquiries (RCII) team will primarily be responsible for complaint management and investigation related to Royal Mutual Funds Inc. (RMFI).

What will you do?

Investigate regulatory complaints applicable to RMFI. This includes reviewing and analyzing documentation and evidence to identify non-compliance.
Gather and evaluate documents, statement of events, and other relevant evidence for investigation.
Analyze the regulatory requirements, policies and procedures to identify non-compliance.
Document investigative analysis and findings including writing substantive response letters and reporting through the CIRO Complaints and Settlement Reporting System (ComSet)
Work with Compliance, the branch managers/branch compliance officers and other internal teams to understand the details of the matter, respond to the regulatory complaints, aid in the resolution of complaints and make recommendations relating to the investigation findings.
Effectively communicate findings, root cause and escalated issues to supervisor and other senior management.
Track and manage ongoing complaint and other regulatory investigations, ensuring timely resolution and proper documentation.
Based on findings, make recommendations to prevent repeat issues/future complaints and ensure compliance with applicable laws and regulations.
Other initiatives - assisting on special projects, ongoing initiatives and other work to support the RCII team, RBC Compliance and RBC.

What do you need to succeed?

Must-have:

University degree (preference law, business, finance)

Knowledge of mutual fund dealer and/or investment dealer

Knowledge of CIRO rules

Experience working in regulatory environment and knowledge of concepts relevant for regulatory complaints management
Excellent written and oral communication skills
Excellent interpersonal skills with strong client centric approach
Proven analytical skills
Proven ability to multi-task in a demanding environment
Strong organizational abilities
Motivated and can work independently within a team

Nice-to-have:

Completion of securities industry related education, including the Canadian Securities Course (CSC) or the IFIC Canadian Investment Funds Course, Branch Compliance Officers Course
Ability to read and write in French is an asset

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
Opportunities to do challenging work
Opportunities to take on progressively greater accountabilities
Ability to make a difference and last impact

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking

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:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Contract (Fixed Term)

Pay Type:

Salaried

Posted Date:

2026-09-22

Application Deadline:

2026-10-06

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.

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.

Apply About employer

More about this job

Responsibilities

The Compliance Manager will investigate regulatory complaints for Royal Mutual Funds Inc. by analyzing documentation, identifying non-compliance, and reporting findings through the CIRO system. They will also collaborate with internal teams to resolve complaints and provide recommendations to prevent future regulatory issues.

Requirements

Candidates must hold a university degree in law, business, or finance and possess knowledge of CIRO rules and mutual fund dealer regulations. Strong written and oral communication skills, along with proven analytical and organizational abilities, are essential for this role.

Skills

Compliance management
Regulatory investigations
Documentation analysis
Regulatory reporting
CIRO rules
Communication skills
Interpersonal skills
Analytical skills
Multi-tasking
Organizational skills
Risk management
Strategic thinking
Data gathering
Decision making
Detail-oriented
Financial regulation

Benefits

Bonuses
Flexible benefits
Competitive compensation
Commissions
Stock options

Visa sponsorship

Not detected in the job text

Keywords

Compliance
Regulatory Complaints
Investigations
Royal Mutual Funds Inc
RMFI
CIRO
ComSet
Audits
Risk Management
Financial Regulation
Canadian Securities Course
CSC
IFIC
Branch Compliance
Data Analysis
Strategic Thinking
Documentation
Reporting
Mutual Fund Dealer
Investment Dealer
Contract
Regulatory Environment
Client Centric
Root Cause Analysis
Policy Analysis
Internal Controls
Legal
Business
Finance
Professional Development

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