Supervisory Risk Manager

Job Duties

Job Description

What is the opportunity?

Serve as direct supervisor relative to all sales and trade-related activities for the complexes assigned. The SRM role is critical to the first line of defense and leading the firm's efforts for successfully protecting the RBC WM brand and managing the risk inherent in the activities conducted by the Firm's complex/branch employees and clients. The SRM is responsible for effectively supervising the daily, weekly, monthly and periodic business activities performed by FAs and support staff in the field as well as performing oversight of certain supervisory activities that will remain the responsibilities of complex/branch management. The SRM position aligns with overall business strategic imperatives by way of conducting required supervision that allows for identification of potentially problematic activities in their earliest stages and ensuring corrective action to protect and ultimately increase RBC's and the field's reputation and productivity.

What will you do?

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

What do you need to succeed?

Must-have

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

Nice-to-have

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

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 $90,000-$160,000 (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

#LI - POST

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Risk Management, Strategic Thinking

Additional Job Details

Address:

250 NICOLLET MALL:MINNEAPOLIS

City:

Minneapolis

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

WEALTH MANAGEMENT

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2026-06-18

Application Deadline:

2026-08-01

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.

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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.

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.

RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status or any other legally-protected factors.

Minimum Education Required

High School Diploma or Equivalent

Minimum Experience Required

3 - 5 years

Shift

First (Day)

Number of Openings

1

Public Transportation Accessible

Yes

Veterans Encouraged to Apply

Yes

Physical Required

Yes

Drug Test Required

Yes

Compensation

$11.41 / Hourly

Postal Code

55401

Job Type

Full Time

Place of Work

On-site

Requisition ID

RBCAA0088R0000176982EXTERNALENCA

Job Benefits

Not specified