Senior Manager - Head of Dispute Resolution and Electronic Communications Compliance

Job Summary

Job Description

What is the Opportunity?

Lead the Dispute Resolution team and oversee the intake, investigations, tracking and resolution of all client complaints.  Ensure regulatory complaint reporting (e.g. 4503, Form U4/U5 disclosures) is timely and accurate.   Analyze complaint trends to identify root causes, potential misconduct, training gaps or systemic issues. 

Responsible for overseeing Wealth Management’s (WM) compliance with regulatory requirements and internal policies related to electronic communications.   Attend WM’s eCommunications Governance Committee to review lexicons and trends identified by WM surveillance.  Provide guidance to business on the compliant use of new or evolving communications platforms. 

What will you do?

• Oversee intake, investigations, tracking and resolution of all client complaints.

• Ensure timely, fair and consistent responses aligned with regulatory obligations and internal policies

• Escalate material or complex issues to legal, risk or senior compliance leaders.

• Ensure regulatory complaint reporting (e.g. 4503, Form U4/U5 disclosures) is timely and accurate.  

• Respond to regulators during audits or inquiries involving complaint handling

• Analyze complaint trends to identify root causes, potential misconduct, training gaps or systemic issues. 

• Deliver regular and ad hoc complaint metrics, summaries and trend reports to senior management

• Drive operational improvements and leverage technology solutions to improve efficiency

• Stay abreast of FINRA, SEC and other applicable regulatory requirements regarding electronic communications and record keeping

• Provide guidance to business on the compliant use of new or evolving communications platforms.

• Oversee WM electronic communication surveillance teams

• Escalate issues identified to the appropriate internal stakeholders

What do you need to succeed?

• Bachelor's Degree

• FINRA Registrations 7 and 24

• MBA or Law Degree preferred

• 7+ years of relevant experience

• Highly organized and analytical with excellent attention to detail

• Strong interpersonal and communication skills (both written and verbal) including ability to communicate issues professionally and effectively, while using discretion with sensitive and confidential data

• Strong team player who does not operate in a siloed capacity and values collaboration

• Agile performer with a strong ability to prioritize and multitask between initiatives

• Maintains a curious nature and can think strategically

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.

• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.

• Leaders who support your development through coaching and managing opportunities.

• Ability to make a difference and lasting impact.

• Work in a dynamic, collaborative, progressive, and high-performing team.

• Opportunities to do challenging work.

• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $85,000-$150,000 (Minnesota) 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:

• Drives RBC’s high-performance culture

• Enables collective achievement of our strategic goals

• Generates sustainable shareholder returns and above market shareholder value

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Job Skills

Additional Job Details

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250 NICOLLET MALL:MI