Job Summary

Job Description

What is the opportunity?

Supervisory Risk Manager is responsible for effectively supervising the business activities performed by Financial Advisors and support staff in the field as well as performing oversight of certain supervisory activities performed by other areas.

What will you do?

Supervise all employee-related activities specific to the employee’s personal accounts, outside activities, private securities transactions etc.Assess risk in all areas of responsibility and escalate potential problems and concerns to the appropriate parties; monitor issue through resolutionWork with complex management on systemic weaknesses that pose risk to ensure corrective measures are implemented to improve behaviorsLead internal review and analysis for material sales practice violationsIdentify, propose and assist in the development of supervisory tools and procedures

What do you need to succeed?   To effectively accomplish the functions of the position, this person will frequently interact and work with field management, Financial Advisors and support staff as well as various functional area of the firm including Compliance, Legal, and Product Managers.

This is a fast-paced and agile working environment which may require quick turnaround and solid decision-making.

Must-have

7-10 years of industry/industry related experience3-5 years of direct supervisory experience in a broker/dealerSeries 7, 63/65 and Series 8 or 9/10 or equivalent combination.Excellent understanding of the stock market, investments and investment programsAn understanding of the securities industry’s regulatory environment and related policies and proceduresStrong and proven verbal, inter-personal and written communications skills

Nice-to-have

Strong leadership skills and a proven ability to effectively influence othersProven ability and temperament to handle difficult people, situations and conflictAbility to balance the need for identifying and resolving difficult sales practice violations with maintaining a strong professional partnership with field employees – especially field leadership (ability to be tough but fair)Proven ability for strong decision-making and to work through difficult and time-sensitive problems and issuesAbility to apply an objective approach to supervisory decisionsDesire to work as part of a team of like professionals, proven ability to collaborate Detail orientated and strong organizational skills

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 applicableLeaders who support your development through coaching and managing opportunitiesAbility to make a difference and lasting impactWork in a dynamic, collaborative, progressive, and high-performing teamFlexible work/life balance optionsOpportunities to do challenging workOpportunities to take on progressively greater accountabilities  Access to a variety of job opportunities across business

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

·       Drives RBC’s high performance culture

·       Enables collective achievement of our strategic goals

·       Generates sustainable shareholder returns and above market shareholder value

Job Skills

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

Additional Job Details

Address:

250 NICOLLET MALL:MINNEAPOLIS

City:

Minneapolis

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

WEALTH MANAGEMENT

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-11-11

Application Deadline:

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

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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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.