Phoenix, Arizona, United States · On-site
$90k–$160k/yr
Job Description What is the opportunity? Serve as direct supervisor relative to all sales and trade-related activities for the complexes assigned. The SRM role is critical to the first line of defense and leading the fir…
Skills: Audits, Compliance, Critical Thinking, Data Gathering Analysis, Decision Making
Georgina, Ontario, Canada · On-site
Job Description What is the opportunity? As an RBC Financial Advisor, you attract, nurture, and grow relationships with our high-value personal and small business clients, by adding value in the moments that matter to th…
Skills: Advice Based Solutions, Client Centricity, Client Discovery, Communication, Critical Thinking
Toronto, Ontario, Canada · On-site
Job Description What is the opportunity? Join our Strategic Initiatives & Infrastructure team within Wealth Management Global Credit & Banking Solutions, where you'll be the bridge between business vision and technical r…
Skills: Agile Methodology, Business Data Analysis, Business Process Modeling, Commercial Acumen, Communication
Toronto, Ontario, Canada · On-site
Job Description We are seeking an experienced and commercially minded Product Manager to support the design, development, and evolution of digital asset payments at RBC, with a specific focus on tokenized money models su…
Skills: Blockchain, Business Case Design, Communication, Critical Thinking, Cryptocurrency
Toronto, Ontario, Canada · On-site
Job Description What is the opportunity? The Manager, Product Control will provide quality support to various banking platforms across multiple asset classes and strategies, by performing daily mark-to-market valuation, …
Skills: Accounting, Business Analytics, Financial Accounting Systems, General Ledger Administration, Group Problem Solving
Grande Prairie, Alberta, Canada · On-site
Job Description What is the Opportunity? Your natural flair for providing advice and resolving intricate business challenges is what sets you apart from the crowd. This role is all about professional relationship managem…
Skills: Business Development, Client Relationship Management, Financial Analysis, Credit Structuring, Risk Mitigation
Toronto, Ontario, Canada · On-site
$38k–$50k/yr
Job Description RBC Dominion Securities is Canada’s leading full-service investment and wealth management firm. We are committed to helping our clients build financial success through a personalized approach that draws o…
Skills: Account Management, Customer Success, Decision Making, Financial Regulation, Group Problem Solving
Toronto, Ontario, Canada · Hybrid
$90k–$135k/yr
Job Description What is the opportunity? Manage an assigned portfolio of Global Corporate clients. Responsibilities include working with Corporate Banking and other groups to facilitate and enhance the credit process thr…
Skills: Adaptability, Critical Thinking, Customer Service, Detail-Oriented, Financial Engineering
Kingston, Ontario, Canada · On-site
Job Description **Please note: this job is located in Kingston and is a 15-month fixed term contract position** What is the opportunity? As part of a growing RBC Royal Trust team, you will focus on supporting the Philant…
Skills: Estate & Trust Administration, Charitable Foundation Management, Client Servicing, Financial Reconciliation, Donor Servicing
Nassau, Bahamas · On-site
Job Description APPLICATION DEADLINE: JUNE 26, 2026 What is the opportunity? In this role you will cure or liquidate the bank’s position with the client using the most cost effective and time sensitive approach while mai…
Skills: Bank Reconciliation, Collections Platforms, Caribbean Legal Systems, Microsoft Excel, Portfolio Management
Oxford, England, United Kingdom · Hybrid
Job Description What is the opportunity? We have an exciting opportunity for a Wealth Administrator to join the Wealth Management team in our Oxford office on a permanent basis. The successful candidate will play an inte…
Skills: Communication, Critical Thinking, Customer Service Management, Decision Making, Detail-Oriented
Sudbury, Ontario, Canada · On-site
Job Description What is the opportunity? As an RBC Financial Planner, you have the opportunity to grow and manage a portfolio of mass affluent clients. You provide ongoing comprehensive reviews of your clients’ financial…
Skills: Business Development, Client Centricity, Communication, Long Term Planning, Financial Planning
Raleigh, North Carolina, United States · On-site
Job Description What is the Opportunity? Securities Based Lending is a key business for RBC Bank that provides adjudication and servicing of Securities Based Lending for U.S. Wealth Management clients. The role of Analys…
Skills: SQL, Tableau, Snowflake, Power BI, Statistical Analysis
Newcastle upon Tyne, England, United Kingdom · Hybrid
Job Description What is the opportunity? The Chief Administration Office (CAO) supports the Wealth Management Europe (WME) business lines through three core principles. Protect implements and embeds effective first-line …
Skills: Communication, Critical Thinking, Customer Service Management, Decision Making, Detail-Oriented
Surrey, British Columbia, Canada · On-site
$38k–$45k/yr
Job Description What is the opportunity? RBC Dominion Securities is Canada’s leading full-service investment and wealth management firm and is backed by Canada’s leading financial institution. We take pride in hiring and…
Skills: Adaptability, Communication, Critical Thinking, Detail-Oriented, Teamwork
Waterloo, Ontario, Canada · On-site
$38k–$60k/yr
Job Description What is the opportunity? The RBC Dominion Securities (“RBC DS”) branch located in Uptown Waterloo is looking for an experienced Associate Investment Advisor or Associate Advisor to join a Premier advisory…
Skills: Customer Service, Customer Service Management, Decision Making, Interpersonal Relationship Management, Investment Management
Halifax, Nova Scotia, Canada · Hybrid
Job Description What is the opportunity? Manager Financial Crimes and AML Audit is a curious, dynamic, adaptable, solution-oriented team player and self-starter. A with knowledge of risk management, AML/Sanctions regulat…
Skills: Auditing, AML Compliance, Sanctions Compliance, Risk Management, Data Analytics
Raleigh, North Carolina, United States · On-site
Job Description What is the Opportunity? The Senior Manager, Cross border Deposit Products is responsible for the suite of deposit products across product strategy, pricing, and profit & loss management. Own the suite of…
Skills: Product Management, Pricing Strategy, P&L Management, Financial Acumen, Risk Management
Toronto, Ontario, Canada · On-site
Job Description What is the Opportunity? Securities Based Lending is a key business for RBC Bank that provides adjudication and servicing of Securities Based Lending for U.S. Wealth Management clients. The role of Analys…
Skills: SQL, Tableau, Snowflake, Power BI, Statistical Analysis
Nanaimo, British Columbia, Canada · On-site
Job Description What is the opportunity? In this role, you provide peace of mind to clients by providing customized mortgage solutions and advice. Your ability to develop relationships with both internal and external par…
Skills: Mortgage Solutions, Relationship Building, Financial Advice, Sales, Client Loyalty
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Supervise sales and trade-related activities for assigned complexes to protect the firm's brand and manage inherent risks. This includes reviewing trade blotters, approving new accounts, and collaborating with management to resolve systemic weaknesses and sales practice issues.
Requires 3-5 years of direct supervisory experience in a broker/dealer environment. Candidates must hold Series 7, 63/65 or 66, and Series 8 or 9/10 licenses, along with deep knowledge of investment products and regulatory environments.
Serve as direct supervisor relative to all sales and trade-related activities for the complexes assigned. The SRM role is critical to the first line of defense and leading the firm’s efforts for successfully protecting the RBC WM brand and managing the risk inherent in the activities conducted by the Firm’s complex/branch employees and clients. The SRM is responsible for effectively supervising the daily, weekly, monthly and periodic business activities performed by FAs and support staff in the field as well as performing oversight of certain supervisory activities that will remain the responsibilities of complex/branch management. The SRM position aligns with overall business strategic imperatives by way of conducting required supervision that allows for identification of potentially problematic activities in their earliest stages and ensuring corrective action to protect and ultimately increase RBC’s and the field’s reputation and productivity.
Review daily trade and periodic activity via the trade blotter and conduct necessary investigation and follow-up as warranted; review all related supervisory reports
Review and approve new accounts and account updates to client and account profiles
Perform account triage and in-depth analysis for monthly account reviews and work with field management to ensure client contact and action steps are completed, and corrective action is implemented as warranted
Perform analysis on Inactive advisory accounts, work with field management on a recommended course of action that confirms the client’s best interests are being served
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
Work with corporate and field personnel to investigate and resolve potential sales practice issues
Maintain a high level of confidentiality in accordance with department, Firm and enterprise standards
3-5 years of direct supervisory experience in a broker/dealer
Series 7, 63/65 or 66 and Series 8 or 9/10 or an equivalent combination. Other licenses may be required
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
Very strong inter-personal skills
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 and temperament to handle difficult people, situations and conflict
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 include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
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.
Opportunities to do challenging work.
Opportunities to build close relationships with clients.
The expected salary range for this particular position is $90,000-$160,000 (Minnesota), depending on your experience, skills, and registration status, market conditions and business needs.
You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.
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
#LI - POST
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
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.
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact. http://rbc.com/legalstuff. La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social. https://www.rbc.com/conditions-dutilisation/
Offices: 200 Bay Street, Toronto, Ontario M5J 2J5, CA · 1 Place Ville-Marie, Montreal, QC H3B 1Z3, CA · 2 Park St, Sydney, NSW 2000, AU · 100 Bishopsgate, London, England EC2N 4AA, GB · Persiaran Apec, Cyberjaya, Selangor 63000, MY
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact. http://rbc.com/legalstuff. La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social. https://www.rbc.com/conditions-dutilisation/
Offices: 200 Bay Street, Toronto, Ontario M5J 2J5, CA · 1 Place Ville-Marie, Montreal, QC H3B 1Z3, CA · 2 Park St, Sydney, NSW 2000, AU · 100 Bishopsgate, London, England EC2N 4AA, GB · Persiaran Apec, Cyberjaya, Selangor 63000, MY
