RBC · 1 hour ago
Supervisory Risk Manager
Richmond, VA
Full-time
Onsite
Mid, Senior Level
$90K/yr - $160K/yr
3+ years expRBC is a leading bank committed to fostering an inclusive workplace. The Supervisory Risk Manager (SRM) will oversee sales and trade-related activities, ensuring compliance and risk management for the firm's operations. This role involves supervising daily activities, conducting investigations, and collaborating with management to enhance the firm's reputation and productivity.
BankingFinancial ServicesWealth Management
Responsibilities
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
Qualification
Required
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
Preferred
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
Benefits
401(k) program with company-matching contributions
Health, dental, vision, life, disability insurance
Paid-time off
Company
RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance.
10001+ employees
H1B Sponsorship
RBC has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (29)
2024 (17)
2023 (3)
2022 (4)
2021 (1)
2020 (2)
Funding
Current Stage
Public CompanyTotal Funding
$16.3B2025-10-30Post Ipo Debt· $5B
2025-09-15Post Ipo Debt· $1.35B
2025-07-10Post Ipo Debt· $177.74M
Leadership Team
Graeme Hepworth
Chief Risk Officer
Kelly Bradley
Chief Human Resources Officer
Recent News
2026-01-15
Company data provided by crunchbase