RBC
Position
Join RBC as a
Senior Compliance Officer
based in Minneapolis, MN. The role focuses on reviewing customer complaints, responding to regulatory inquiries, and maintaining regulatory recordkeeping to ensure compliance with applicable rules and firm policies.
Responsibilities
Review and understand client complaint allegations and determine whether they qualify as FINRA complaints.
Log complaints in firm records and, where required, file associated regulatory notifications (e.g., FA U4 complaint filing).
Gather facts, analyze the matter against firm policies and regulatory requirements, and draft clear, responsive communications to customers, referral sources, and internal stakeholders.
Negotiate settlements within authorized limits and prepare settlement offers or responses as appropriate.
Escalate policy or procedural concerns and refer suspected violations to Legal, Compliance, or Discipline teams for review.
Prepare individual case reports and maintain aggregate Dispute Resolution data.
Communicate with parties (customers, financial advisors, complex management) throughout the process to manage expectations and outcomes.
Qualifications
Bachelor’s degree in finance, law, business, or related field, or equivalent industry experience.
Five or more years of dispute resolution experience.
Seven to ten years of experience in financial services.
FINRA Series 7 certification.
Benefits & Compensation Competitive base salary range of $65,000–$115,000 depending on experience, qualifications, and market conditions. RBC offers discretionary variable compensation and an attractive Total Rewards program, which includes a 401(k) plan with company matching, health, dental, vision, life, disability insurance, paid time off, and coaching and leadership development opportunities.
Application Deadline Applications are accepted until 11:59 PM on the day prior to the application deadline date of 2025-10-31.
EEO Statement RBC is an Equal Opportunity Employer. We are committed to an inclusive workplace that supports diverse perspectives and fosters a culture of respect, belonging, and opportunity for all employees.
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Senior Compliance Officer
based in Minneapolis, MN. The role focuses on reviewing customer complaints, responding to regulatory inquiries, and maintaining regulatory recordkeeping to ensure compliance with applicable rules and firm policies.
Responsibilities
Review and understand client complaint allegations and determine whether they qualify as FINRA complaints.
Log complaints in firm records and, where required, file associated regulatory notifications (e.g., FA U4 complaint filing).
Gather facts, analyze the matter against firm policies and regulatory requirements, and draft clear, responsive communications to customers, referral sources, and internal stakeholders.
Negotiate settlements within authorized limits and prepare settlement offers or responses as appropriate.
Escalate policy or procedural concerns and refer suspected violations to Legal, Compliance, or Discipline teams for review.
Prepare individual case reports and maintain aggregate Dispute Resolution data.
Communicate with parties (customers, financial advisors, complex management) throughout the process to manage expectations and outcomes.
Qualifications
Bachelor’s degree in finance, law, business, or related field, or equivalent industry experience.
Five or more years of dispute resolution experience.
Seven to ten years of experience in financial services.
FINRA Series 7 certification.
Benefits & Compensation Competitive base salary range of $65,000–$115,000 depending on experience, qualifications, and market conditions. RBC offers discretionary variable compensation and an attractive Total Rewards program, which includes a 401(k) plan with company matching, health, dental, vision, life, disability insurance, paid time off, and coaching and leadership development opportunities.
Application Deadline Applications are accepted until 11:59 PM on the day prior to the application deadline date of 2025-10-31.
EEO Statement RBC is an Equal Opportunity Employer. We are committed to an inclusive workplace that supports diverse perspectives and fosters a culture of respect, belonging, and opportunity for all employees.
#J-18808-Ljbffr