What is the opportunity?

The Director of Client Compliance and Quality Control is a key member of the Client Lifecycle Management group, providing operational oversight, management, and leading the Global Know Your Customer (KYC) and Regulatory Compliance Onboarding Quality Control teams as well as the Quality Assurance team.

The primary purpose of this position is to maintain and enhance compliance standards with regional Anti-Money Laundering (AML) and regulatory requirements, safeguarding the integrity and reputation of RBC entities. The role involves providing comprehensive services and support to ensure that all onboarding processes are executed efficiently and accurately, mitigating risks and ensuring regulatory adherence.

Additionally, this leadership position aims to optimize client lifecycle management strategies, improving client experience, reducing operational costs, and streamlining processes to meet the evolving regulatory landscape. By steering compliance initiatives and fostering a culture of continuous improvement, the leader plays a critical role in supporting RBC’s strategic objectives and maintaining robust regulatory compliance across multiple jurisdictions.

What will you do?

Leadership:

• Represent the organization across all regions and globally in senior forums, risk committees, and operating committees, ensuring swift and clear communication of issues and escalations

• Serve as a senior contact point for Business, AML, Compliance, Regulators, Audit, FCOT and Financial Crime escalations for the global Client Lifecycle Management group

• Lead the implementation of client lifecycle management strategies to improve client experience, reduce operational costs, and mitigate regulatory concerns

• Regional management oversight for COS for North America region

Operations, Control, and Compliance:

• Monitor and resolve issues of non-compliance and establish preventative controls to ensure regulatory compliance

• Oversee day-to-day global operations to ensure effectiveness of onboarding and refresh controls, QC processes, developing and overseeing data quality reporting, and informing senior management of data quality issues and operational risks.

• Ensure the efficient management of the global onboarding QC approvals pipeline, ensuring all requests are processed and approved promptly in accordance with CLM service level expectations.

• Develop staff knowledge to ensure that all staff is kept up to date on relevant changes in the business and processes.

• Design controls to minimize operational risks and ensure satisfactory completion of internal, external, and regulatory audits and compliance reviews

• Proactively escalate operational risk events, control deficiencies, and identified risks to senior management and relevant risk and control functions promptly.

• Keep procedures, policies, and guidelines up to date for regional operations, and ensure execution of global procedures in the region

• Optimize processes to reduce cycle time, manual effort, improve end-user experiences, and realize cost savings while ensuring control and policy adherence

• Implement policies and procedures reasonably designed to obtain and retain a record of the essential facts concerning each counterparty whose identity is known to RBC prior to the execution of the transaction

• Serve as primary coordinator and leader of internal and external testing response on behalf of the Client Lifecycle Management group, including senior level interface with internal testing groups, external auditors, and regulators as required.

• Serve as a lead participant for audits and regulatory exams, addressing issues and observations, and ensuring timely closure of audit issues with sustainable action plans

• Ensure timely completion of independent quality and oversight reviews for KYC onboarding and regulatory compliance.

• Oversee QA results for identification of issues, patterns, trends and opportunities for enhancement of KYC and regulatory onboarding and refresh programs and processes

• Publish monthly/quarterly KPI metrics through a QA scorecard as well as detailed issue memos.

• Anticipate and respond to regulatory and client/business changes by swiftly and carefully updating procedures.

People Leadership

• Oversee allocation of resources and costing to manage priorities in order to effectively meet goals and objectives

• Providing coaching and mentorship on a regular basis, focusing on team development and learning, with the goal of increasing skills, knowledge, and relationships within the broader group and the overall enterprise

• Ensure team compliance with Firm Policies applicable to business activities by reviewing and adhering to relevant policies, training, and procedures

• Manage resource allocation and costing to effectively meet goals and objectives, focus resources on priorities, and oversee fiscal planning activities

Authorities, Impact & Risk

• Authority to represent the organization in senior committees and forums, and address escalations from AML Compliance, Regulatory, Audit, and Financial Crimes

• Significant impact on regulatory compliance, operational efficiency, and risk management within regional and global responsibilities

• Authority to make decisions related to resource allocation, policy and procedure implementation, and control design to mitigate operational risks

• Processes and analyses data and information and develops recommendation, moving them through to implementation through their own action or the actions of others

• Review and comply with the Firm Policies applicable to your business activities

• Lead fiscal planning activities and monitor resources and costs

What you need to succeed?

Must have:

• Minimum of a degree-level qualification or an equivalent credential

• 10+ years of relevant experience in Capital Markets

• Strong people leadership skills to manage, motivate and inspire a workforce

• Strong change management understanding to support the evolving nature of change related to business and regulatory requirements as applicable

• Strategic thinker who can articulate a vision and bring it to life

• Excellent communication and interpersonal abilities to effectively liaise with diverse teams and clients

• Strong PC skills (E.g. Microsoft Excel, Outlook, PowerPoint etc.)

• Knowledge of regional KYC laws and regulations related to Anti-Money Laundering//Terrorist Financing/Economic Sanctions and FCA Customer Categorization

• Proven leadership experience in Capital Markets with a focus on KYC, Regulatory Compliance

• In-depth knowledge of financial regulations, compliance requirements, and industry best practices

• Strong strategic thinking, problem-solving, and decision-making skills

• Experience in team development, including monitoring and managing team activities, and ensuring clear succession and development plans for all team members

• Demonstrates initiative and seeks to solve problems beyond immediate area of influence

• Ability to maintain strong attention to detail and meet deadlines in high-pressure situations

• Facilitates cross-department information flow and best practice sharing

• Builds and matures relationships across the organization; high level of client focus

• Excellent organizational skills

• Strong written and presentation skills, crucial for effectively communicating performance metrics, issues, and updates to stakeholders at all levels, with a particular focus on senior leaders

Nice to have:

• Formal qualification at graduate or post graduate level

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 including bonuses and flexible benefits, competitive compensation

• Leaders who support your development through coaching and managing opportunities

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

• Opportunities to do challenging work

• Flexible work/life balance options

Job Skills

Adaptability, Business Performance Management, Customer Service, Decision Making, Interpersonal Relationship Management, Operational Delivery, Process Improvements, Time Management

Additional Job Details

RBC CENTRE, 155 WELLINGTON ST W:TORONTOTorontoCanada37.5Full timeCAPITAL MARKETSRegularSalaried2026-03-242026-04-08

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.