Manager, RCM Quality Assurance Review
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Job Summary
- To support the execution of Enterprise Compliance function’s oversight over RBC’s Regulatory Compliance Management (RCM) programs maintained within the Compliance function and the Reliance Model (RM) Review Program, which includes periodic quality assurance reviews (QARs), annual attestations, ongoing issues management and reporting.
- As part of the Enterprise Compliance RCM Quality Assurance Review Team, the role also supports the Global Chief Compliance Officer’s report to the Audit Committee regarding RBC’s overall state of compliance.
Job Description
- Execute QARs, in adherence with applicable QAR Guidelines:
- Plan & perform individual QARs for in-scope areas pursuant to the approved annual program plan;
- Prepare QAR reports for individual reviews that explain how the review was conducted and what findings resulted from the work performed, and share these reports with the stakeholders associated with each review; and
- Assist the reviewed areas in understanding QAR results and findings, and how to remediate/correct practices.
- Facilitate the RM annual attestation process, including engagement of RM functions, sample review of completed attestations and maintenance of the supporting tool.
- Manage the issues identified by the QAR Review Program, including inputting the required data into RegComp, ongoing monitoring of issues status and validation of remediation activities, following the enterprise Regulatory Compliance Issues Management Process.
- Update RCM ratings for RM functions on a quarterly basis, based on results of QARs and progress of issues remediation.
- Support the ongoing development and maintenance of the QAR Guidelines and annual QAR plans.
- Leverage best practices identified in reviews performed to drive continuous improvement in the overall QAR Program.
- Assist the wider QAR team as required on other components or initiatives of the QAR Program.
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic ThinkingAdditional Job Details
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Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
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