RBC · 1 day ago
Senior Manager Controls and Oversight
Minneapolis, Minnesota, United States of America
Full-time
Onsite
Mid, Senior Level
$90K/yr - $160K/yr
5+ years expRBC is a leading bank in the world, and they are seeking a Senior Manager Controls and Oversight to establish and execute controls and supervision for FINRA defined covered functions. The role involves collaborating with various departments to drive risk mitigation strategies and ensure compliance with regulatory expectations.
BankingFinancial ServicesWealth Management
Responsibilities
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
Establish key requirements to validate controls are embedded into project management milestones and key success factors
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
Validate and evidence RCSA, key controls and WSPs accurately represent functional area processes supported
Execute changes as required by the WM Risk team’s Regulatory Review and External event committee
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
Participate in industry working groups to determine opportunities for implementing industry best practices specific to risk
Provide training, coaching, and mentoring for department managers and other Operations resources, fostering teamwork and knowledge transfer
Deliver training as required to validate efficient Operations’ processing and successful initiative implementation
Qualification
Required
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)
Preferred
Strong problem identification, analytical and resolution skills required to support issue resolution and/or oversight requirements associated with complex processes
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
Advanced knowledge related to business lines, business strategy, needs and technology
Experience and knowledge of broker-dealer operations
Successful track record and ability to influence and lead others to produce high quality results that meet business goals and team expectations
Knowledge of SEC and FINRA regulations
Experience with reporting Operational Risk Events, Self Identified Issues, or Reportable Compliance Issues
4-year degree from an accredited university in communications, marketing, business, or related field
5+ years securities, leadership, change management, project management, analysis, and/or executive level communications/presentations experience
Benefits
Discretionary bonus
401(k) program with company-matching contributions
Health, dental, vision, life and disability insurance
Paid time-off plan
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
2026-01-22
Qatar Tribune
2026-01-21
Company data provided by crunchbase