Senior Manager, Governance & Continuing Eduction

Job Summary

Job Description

What is the opportunity?

The Senior Manager, Governance & Continuing Education is responsible for developing, implementing, and ongoing administration the governance program for registrations and the Continuing Education (CE) program for Canadian Registrations and supervises staff that conduct governance and CE related task. The role reports to the Director, Registrations.

What will you do?

• Working closely with the Director, Registrations, execute and direct the implementation of a Registrations-focused program within RBC's Regulatory Compliance Management (RCM) framework to facilitate an effective control environment.
• Responsible for ensuring the implementation of the full lifecycle of RCM activity, including risk identification and assessment, control implementation, issues management and associated monitoring + quality assurance.
• Act as the Registrations contact for Regulatory change, working together with the Regulatory Change (Canada) team to ensure all items impacting Registrations are implemented appropriately.
• Ownership of the Registrations Policy and Procedure library, including ongoing updates to, and development of any associated training required for the teams' operative procedures.
• Facilitation of the development and maintenance of reporting and metrics, including associated Key Risk/Performance indicators and required management information. Production of the core data used to create the underlying metrics may be held within another Compliance team.
• Identify and interpret regulatory rules regarding Continuing Education requirements for RBC and its affiliates as well as its employees.
• Identify regulatory and operational risks and recommend practical mitigation solutions.
• Lead projects, including benchmarking, development of workshops and assessment of trends in the industry affecting Continuing Education processes and provide feedback to assigned firms.
• Act as the subject matter expert on Continuing Education and handle escalated regulatory matters from the field.
• Develop and implement appropriate training programs, quality assurance, policies and procedures regarding Continuing Education requirements and initiatives.
• Represent RBC as a member of industry CE committees and regulatory committees where appropriate and provide feedback to regulators on new regulatory requirements as applicable.
• Work closely with the Director to develop metrics for assessing and reporting performance against SLAs.
• Managing a team of three FTE, responsible for the execution of RBC's CE program and Registrations Governance program.
• Maintain job mandates for the Governance & Continuing Education Team.
• Conduct quarterly audits of staff work product
• Provide guidance, coaching to CE Specialists, including conducting formal performance management reviews.
• Manage workload of the CE Specialists and identify other measures to ensure response-time efficiencies are realized.
• Develop and maintain strong relationships with business partners and other stakeholders allowing them to effectively support and action the organization's registration needs and requirements proactively, and act as a liaison with various regulatory bodies as it relates to registration activity, including participation on industry committees.

What do you need to succeed?

• Completion of a post-secondary university degree and/or equivalent work-related experience
• 5-7 years working for a regulatory agency or for a large broker dealer or financial institution
• 2-4 years managing people and processes
• Experience in the investment industry
• Solid understanding of securities regulations pertaining to registration
• Well-developed communication skills (written/verbal)
• Strong critical thinking, problem solving, analytical 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.

• An opportunity to do great and meaningful work with lasting impact
• Leaders who support your development through coaching and managing opportunities
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to take on progressively greater scopes of work
• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation

Job Skills
Audits Compliance, Communication, Continuing Education, Critical Thinking, Data Gathering Analysis, Data Management, Decision Making, Financial Regulation, Governance Development, Governance Framework, Industry Knowledge, Interpersonal Relationship Management, Leadership, Product Services, Regulatory Compliance, Risk Management, Status Reporting, Strategic Thinking, Team 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:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-04-16

Application Deadline:

2025-05-01
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 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.