Quality Assurance Manager

About the role

Support the Billing & Reporting team on process enhancement, procedure modification, and audit coordination.
Conduct procedure reviews and complex process audits; assisting in major audits/reviews of department controls.
Evaluate and review processes; provide status reporting to Clearing & Custody management.
Interface with senior management to resolve deficiencies or compliance issues in a timely manner as needed.
Monitor adherence to quality standards in the development and implementation of new and existing process controls.
Monitor the effectiveness of the assurance process.
Act as the primary point of contact for outside auditors to provide control evidence, conduct process review sessions, and provide responses to audit inquiries.
Oversight and analysis of output for quarterly control checks performed by the Billing & Reporting team to ensure accuracy and help mitigate risks to the business and our Correspondent and RIA firms.
Assess current controls to ensure they fit within existing regulatory frameworks.
Lead efforts to enhance existing processes, with an emphasis on those directly impacted by our System and Organizational Controls report.

Responsibilities

• Support the Billing & Reporting team on process enhancement, procedure modification, and audit coordination.
• Conduct procedure reviews and complex process audits; assisting in major audits/reviews of department controls.
• Evaluate and review processes; provide status reporting to Clearing & Custody management.
• Interface with senior management to resolve deficiencies or compliance issues in a timely manner as needed.
• Maintain adherence to quality standards in the development and implementation of new and existing process controls.
• Monitor the effectiveness of the assurance process.
• Act as the primary point of contact for outside auditors to provide control evidence, conduct process review sessions, and provide responses to audit inquiries.
• Oversight and analysis of output for quarterly control checks performed by the Billing & Reporting team to ensure accuracy and help mitigate risks to the business and our Correspondent and RIA firms.
• Assess current controls to ensure they fit within existing regulatory frameworks.
• Lead efforts to enhance existing processes, with an emphasis on those directly impacted by our System and Organizational Controls report.

Requirements

• Must-have Bachelor’s degree in accounting, finance, or a related field.
• 3-5 years of financial services/brokerage experience.
• Previous experience managing business controls and 3rd party auditors strongly preferred.

Qualifications

• Ability to communicate effectively both verbally and in writing.
• Ability to work under pressure and meet deadlines.
• Ability to create, execute and maintain project documentation.

Skills

• Communication
• Critical Thinking
• Decision Making
• Detail-Oriented
• Process Management
• Risk Management

Benefits

• 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.

Pay

The expected salary range for this particular position is $70,000-$130,000, 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.

Schedule

Work hours/week: 40

Employment Type

Full time

Platform

WEALTH MANAGEMENT

Job Type

Regular

Pay Type

Salaried

Posted Date

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. 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