Client & Regulatory Disclosures Manager
What is the opportunity?
As the Manager of Regulatory and Client Disclosures you drive disclosure and agreement coordination, accuracy and consistency while collaborating across the organization. Your exceptional attention to detail and drive to achieve maximum efficiencies is critical to your success as you develop, implement and manage a strategic governance structure. Lastly, you ensure proper execution is established and maintained to provide the necessary deliverables for the U.S. Private Client Group and U.S. Correspondent and Advisor Services. What will you do?
What do you need to succeed? Must-have
- Design, recommend and develop a governance structure for key regulatory filings and client disclosures and agreements
- Build coalition of key stakeholders to support and enact governance structure (e.g., Compliance, Legal, Product, Technology, Marketing, etc.)
- Manage and lead governance for in-scope regulatory filings, disclosures and agreements
- Identify and develop criteria and procedures for managing documents through the governance process
- Develop complete inventory of in-scope documents including key content, owners, delivery frequency and methods, and update schedule/process
- Identify interdependencies and common content among documents and ensure consistency across documents
- Collaborate with document owners and hold them accountable for timely revisions and updates, as appropriate
- Ensure documents requiring regulatory filing are finalized and ready for submission by Compliance in a timely manner
- 5+ years securities and financial markets experience
- 5+ experience in the areas of product management, compliance or technology
- Demonstrated ability to implement strategy and manage projects and cross-functional teams
- Keen awareness of the regulatory frameworks of products managed, the distribution channels served and the broker/dealer industry
What's in it for you?
- Series 7, 24, 65/66 licenses
- Vendor relationship management and an understanding of the needs of regulators, FAs and clients
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.
- Client First: We will always earn the right to be our clients' first choice
- Collaboration: We win as One RBC
- Accountability: We take ownership for personal and collective high performance
- Diversity & Inclusion: We embrace diversity for innovation and growth
- Integrity: We hold ourselves to the highest standards to build trust
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