Supervisory Risk Manager

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 resolution
• Work with complex management on systemic weaknesses that pose risk to ensure corrective measures are implemented to improve behaviors
• Lead internal review and analysis for material sales practice violations
• Identify, 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 experience
• 3-5 years of direct supervisory experience in a broker/dealer
• Series 7, 63/65 and Series 8 or 9/10 or equivalent combination.
• Excellent understanding of the stock market, investments and investment programs
• An understanding of the securities industry's regulatory environment and related policies and procedures
• Strong and proven verbal, inter-personal and written communications skills

Nice-to-have

• Strong leadership skills and a proven ability to effectively influence others
• Proven ability and temperament to handle difficult people, situations and conflict
• Ability 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 issues
• Ability to apply an objective approach to supervisory decisions
• Desire 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 applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities 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

Additional Job Details

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