Location
toronto, on, Canada
Posted
July 13, 2026
Job Description
Drive compliance and regulatory excellence as the Sales Practices Compliance Manager at RBC GAM. Engage with high-performing sales teams while ensuring all processes adhere to industry standards.
In this role, you will work directly with the Associate Director to provide compliance oversight for sales practices. Your duties will include monitoring compliance processes, preparing reports for audits, and advising teams on compliance-related inquiries. Your expertise in identifying risks and gaps will enhance RBC GAM's compliance culture.
Key Responsibilities:
• Conduct sales practices compliance monitoring activities
• Prepare all documentation for internal and external audits
• Update and maintain sales practices policies
• Provide ongoing compliance advisory support
• Review marketing requests against regulatory standards
Requirements:
• 3-5 years’ experience in the financial services sector
• Knowledge of...
In this role, you will work directly with the Associate Director to provide compliance oversight for sales practices. Your duties will include monitoring compliance processes, preparing reports for audits, and advising teams on compliance-related inquiries. Your expertise in identifying risks and gaps will enhance RBC GAM's compliance culture.
Key Responsibilities:
• Conduct sales practices compliance monitoring activities
• Prepare all documentation for internal and external audits
• Update and maintain sales practices policies
• Provide ongoing compliance advisory support
• Review marketing requests against regulatory standards
Requirements:
• 3-5 years’ experience in the financial services sector
• Knowledge of...