Supervisory Risk Principal - Minneapolis, United States - RBC Capital Markets, LLC

Description

Job Summary

Job Description

What is the opportunity?

As a Supervisory Risk Principal for the Business Supervision Group, you would conduct monitoring and surveillance activities to ensure business unit is in compliance with programs to prevent or identify illegal, unethical, or improper business practices. Applies extensive, in-depth knowledge, skills, and practices to perform complex assignments.

If you have strong interpersonal skills, enjoy working in challenging environment, and are looking for the next step in your career, we want to hear from you

What will you do?

• Developing, initiating and revising procedures for conducting monitoring and surveillance activities relevant to business unit
• Conducting monitoring and surveillance activities relevant to business unit
• Identifying potential areas of compliance vulnerability and risk; developing corrective action plans for resolution of problematic issues and providing general guidance on how to avoid or deal with similar situations in the future
• Responding to alleged violations of rules, regulations, policies, and procedures by evaluating or recommending the initiation of investigative procedures

What do you need to succeed?

Must-have

• 7-10 years of industry related experience and 3-5 years of direct supervisory experience in a broker/dealer setup
• Series 7, 63/66, 65 and Series 8 or 9/10 or equivalent combination
• Excellent understanding of the stock market, investments and investment programs, comprehensive and in-depth knowledge of investment products and strategies and their suitability for clients based on investment objectives, risk tolerance and financials
• An understanding of the securities industry's regulatory environment and related policies and procedures
• Strong and proven verbal and written communications skills with strong inter-personal skills

Nice-to-have

• Bachelor's Degree and/or FINRA Series 4
• 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)
• Detail orientated, strong organizational skills and strategic mindset with an ability to be creative in finding optimal solutions to problems
• Strategic mindset with ability to be creative in finding optimal solutions to problems

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

WMUS

RBC requires as a condition of employment that all successful candidates in the United States and Canada be fully vaccinated against COVID-19 prior to their start date, and may require proof of the same. Reasonable accommodation is available where required by law.

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, 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:

Application Deadline:

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.

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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RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status or any other legally-protected factors.