Senior Compliance Officer
![]() | |
![]() | |
![]() United States, Minnesota, Minneapolis | |
![]() | |
Job Description What is the opportunity? This role is Responsible for the review of customer complaints received by the Firm and development of the Firm's response and actions. It will respond to regulatory inquiries regarding customer complaints received by the Firm or received directly by the regulator and forwarded to the Firm. This role will complete regulatory reporting of customer complaints in accordance with applicable regulatory rules and maintain regulatory required customer complaint books and records in accordance with Firm policy and within record retention requirements. This Senior Officer will investigate and communicate conclusions verbally and in writing regarding complex customer complaints, arbitration, litigation, and related regulatory inquiries involving a high degree of regulatory or financial risk to the firm. It will ensure compliance with industry requirements regarding customer allegations of misconduct by the firm or one of our employees and corresponding outcomes. It may recommend remedial action against the employee when appropriate. It is responsible for recommending proactive initiatives to be taken by the firm based on lessons learned or patterns observed. What will you do?
What do you need to succeed? Must-have
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.
The expected salary range for this particular position is $65,000-115,000, 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:
Job Skills Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic ThinkingAdditional Job Details Address: City: Country: Work hours/week: Employment Type: Platform: Job Type: Pay Type: Posted Date: Application Deadline: 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. Join our Talent Community |