RBC Capital Markets, LLC
Senior Analyst - Client Risk Prevention
RBC Capital Markets, LLC, Minneapolis, Minnesota, United States, 55400
Job Description
What is the opportunity?
As a Senior Analyst, Client Risk Prevention in the Business Risk Oversight team, you will be responsible for the intake and case management of incidents of fraud, financial exploitation, and vulnerable client support, providing proactive and responsive advice to business partners and functional groups. We are looking for someone with a passion for helping others and the ability to demonstrate professionalism and empathy with a calm demeanor while addressing potentially stressful, time-sensitive situations.
Please note that the firm will consider on a case-by-case basis candidates who are willing work from any existing US RBC Wealth Management office.
What will you do?
Applying knowledge of regulations, internal policies and standards, and best practices, serve as a centralized intake resource and subject matter expert for US Wealth Management in response to potential fraud and/or client exploitation
Manage a centralized inbox and monitor the Client Risk Prevention Hotline in a timely manner
Set up and manage cases in Salesforce and maintain thorough documentation and organization of cases and files
Research cases and disseminate information in accordance with desktop procedures to facilitate incident response across internal partners, including financial advisors, Operations, AML, Compliance, Corporate Investigation Services and others
Provide standard advice to internal partners via phone and email using procedures and internal resources and escalating non-standard advice cases to Managers
Fulfill documentation requests from government agencies such as adult protective services or law enforcement
Assist with the development and maintenance of department content including procedures, employee resources, and client-facing materials
Assist managers with tracking metrics and identifying trends for process improvement and efficiencies
What do you need to succeed? Must-have
Bachelor's degree or equivalent experience with general knowledge of the securities or retail banking industries
Five or more years of related experience within a broker dealer or financial services environment
Ability to adapt to changing dynamics, including evolving intervention techniques, changing resources and new procedures
Outstanding verbal and written communication skills, with the ability to handle challenging conversations
Advanced organizational skills, including the ability to multi-task and prioritize with meticulous attention to detail and consistent follow through
Proficiency in Microsoft Word, Excel, Outlook, and PowerPoint
Nice-to-have
Series 7 & 66 or the ability to obtain within 120 days
CFE and/or CFCI designations
Experience levering and/or writing SQL queries for data collection and research
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 $80,000-$135,000 (New York), $72,000-$127,000 (Chicago); $65,000-$115,000, (Minneapolis), 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
Job Skills Business Performance Management, Investment Economics, Investment Risk, Investment Risk Management, Market Risk, Performance Management (PM), Risk Control, Risk Management, Standard Operating Procedure (SOP)
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: 2025-12-11 Application Deadline: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Inclusion and Equal Opportunity Employment At 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.
Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. 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.
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Please note that the firm will consider on a case-by-case basis candidates who are willing work from any existing US RBC Wealth Management office.
What will you do?
Applying knowledge of regulations, internal policies and standards, and best practices, serve as a centralized intake resource and subject matter expert for US Wealth Management in response to potential fraud and/or client exploitation
Manage a centralized inbox and monitor the Client Risk Prevention Hotline in a timely manner
Set up and manage cases in Salesforce and maintain thorough documentation and organization of cases and files
Research cases and disseminate information in accordance with desktop procedures to facilitate incident response across internal partners, including financial advisors, Operations, AML, Compliance, Corporate Investigation Services and others
Provide standard advice to internal partners via phone and email using procedures and internal resources and escalating non-standard advice cases to Managers
Fulfill documentation requests from government agencies such as adult protective services or law enforcement
Assist with the development and maintenance of department content including procedures, employee resources, and client-facing materials
Assist managers with tracking metrics and identifying trends for process improvement and efficiencies
What do you need to succeed? Must-have
Bachelor's degree or equivalent experience with general knowledge of the securities or retail banking industries
Five or more years of related experience within a broker dealer or financial services environment
Ability to adapt to changing dynamics, including evolving intervention techniques, changing resources and new procedures
Outstanding verbal and written communication skills, with the ability to handle challenging conversations
Advanced organizational skills, including the ability to multi-task and prioritize with meticulous attention to detail and consistent follow through
Proficiency in Microsoft Word, Excel, Outlook, and PowerPoint
Nice-to-have
Series 7 & 66 or the ability to obtain within 120 days
CFE and/or CFCI designations
Experience levering and/or writing SQL queries for data collection and research
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 $80,000-$135,000 (New York), $72,000-$127,000 (Chicago); $65,000-$115,000, (Minneapolis), 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
Job Skills Business Performance Management, Investment Economics, Investment Risk, Investment Risk Management, Market Risk, Performance Management (PM), Risk Control, Risk Management, Standard Operating Procedure (SOP)
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: 2025-12-11 Application Deadline: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Inclusion and Equal Opportunity Employment At 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.
Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. 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.
#J-18808-Ljbffr