Sr Manager Controls and Oversight - Client Reporting Operations

Job Description

What is the opportunity?

This is an important Senior Manager level position responsible for the establishment, execution and supervision of controls over FINRA covered and other functions related to core regulatory client reporting operations, including Monthly Account Statements, Trade Confirmations and Prospectuses, Tax Reporting, Cost Basis, Performance Reporting and general Client Correspondence.

What will you do?

• Draft, publish, and execute operational and business risk policies, WSPs, and procedures. Achieve by leveraging Compliance, WM Risk, and Legal advice and by applying trainings and company resources effectively.
• Monitor and assess risk associated with third-party service provider performance of Client Reporting Operations processes and functions.
• Establish key requirements to validate controls are embedded into project management milestones and key success factors.
• Validate and evidence RCSA, key controls and WSPs accurately represent functional area processes supported.
• Support client remediation efforts by completing root cause analyses of control failures and providing recommendations on new controls or controls improvements.
• Act as a strategic business partner by identifying control and supervisory needs and in turn assist with developing, enhancing, and implementing effective compliance programs. This also includes any necessary revision of policies, procedures, and written supervisory procedures.
• Contribute to the continuous improvement of the risk and controls environment in US WM Client Reporting Operations through opportunity spotting and collaborating with partners on implementing regulatory, risk, or compliance initiatives.
• Support product reviews by describing processes done and covered functions that are supervised to support the product. Provide signoff which in turn allows Ops to approve or decline product offerings.
  
  

What do you need to succeed?

Must-have

• Strong problem identification, analytical and resolution skills required to support issue resolution and/or oversight requirements associated with complex processes.
• Familiarity with FINRA and other regulators and applicable experience with reporting Operational Risk Events, Self Identified Issues, or Reportable Compliance Issues
• 4-year degree from an accredited university or equivalent OR High school diploma or equivalent AND 5 years of securities, banking, technology, risk and/or job specific industry experience
• 5 years prior securities, banking, technology, risk and/or job specific related experience
• Securities license 99 (or able to obtain license within 120 days)
  
  

Nice-to-have

• Strong Leadership, facilitation, negotiation, training, and mentoring skills
• Ability to multi-task and prioritize and work independently under tight deadlines in a fast-paced environment.
• Strong relationship management, change leadership and managerial skills dealing with all parts of platform and all levels of senior management.
• Experience and knowledge of broker-dealer operations.
  
  

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
  
  

The good-faith expected salary range for the above position is $90,000 - $160,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan. 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

Adaptability, Business Process Controls, Collaborating, Crisis Management, Decision Making, Group Problem Solving, Influencing Change, Interpersonal Relationship Management, Operational Delivery, Operational Process Improvements, Operational Risk Assessment, Regulatory Compliance, Risk Management, Taking Initiative, Work Collaboratively

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:

2026-03-16

Application Deadline:

2026-04-06

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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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.