Assistant Complex Manager recruitment
Do what you love and love what you do! Become an Assistant Complex Manager at RBC. Do you know both the financial sales process and compliance regulations inside and out? Are you a leader with a proven record of motivating and working with a variety of people? Does your branch office experience include operations, facilities, and financial responsibilities? Then make a difference in how clients build and manage wealth – as an Assistant Complex Manager with RBC Wealth Management – one of the nation’s largest full-service investment firms.
As the Assistant Complex Manager, you will be responsible for working closely with the other Assistant Complex Manager to supervise the sales and trade-related activities of the Complex branch and its employees. In performing such supervision, you are expected to use all available tools and resources to reasonably ensure that regulatory, firm, Complex and branch procedures are adhered to, and that any issues or concerns are resolved in a timely, efficient and appropriate manner. In a medium to large Complex, may also provide back up to the Administrative Complex Manager.
Additional responsibilities include:
- Ensure compliance to all supervisory policies and procedures.
- Supervise all client trading including equities, fixed income, advisory accounts, futures and commodities, structure products, securitized products, mutual funds, among other more specialized products and platforms including an internal investment advisory business.
- Supervise and monitor all client trading activity, specifically targeting account market value loss, performance analysis, concentrated positions and products, turnover, velocity, margin use.
We’re seeking a seasoned professional with a high degree of personal initiative.
Basic Requirements
- Bachelors Degree
- 3-5 years of securities industry experience
- Minimum of 3 years in a supervisory/compliance role
- Series 7, 63/66 and 8 or 9/10 license (or ability to obtain 8 or 9/10 licenses within 3 months)
- Insurance license or other licenses as required
- Knowledge of regulatory rules pertaining to correspondence and marketing activities
- Must be eligible to work in the US without sponsorship and willing to work in Parsippany.
Minimum Qualifications (Knowledge, Skills Abilities)
- A comprehensive and in-depth knowledge of investment products and strategies and their suitability for clients based on investment objectives and financial status
- A comprehensive understanding of the operations of a branch office
- An in-depth understanding of the firm’s compliance policies and procedures
- Advanced interpersonal, verbal and written communication skills
- Strong leadership skills and a proven ability to effectively influence others
- Strong decision-making ability. The ability to easily work through difficult and time-sensitive problems and issues
- Strong organizational skills, including careful attention to detail
- Proven ability to effectively deal with difficult people, situations and/or conflict
Preferred Qualifications
• Previous branch experience
• Five or more years of management experience
Please apply online at www.rbc.com/careers and refer to job id # 144722. When you apply please include a cover letter stating your interest in the position and your salary requirements. Each role at RBC offers a variety of development opportunities that are critical to an individual's career growth. In this role, the successful candidate can expect to gain experience in interacting with key partners/stakeholders and building specialized process/ functional expertise. RBC Wealth Management is a great place for experienced managers like you, because we have the financial strength and resources of a global financial leader. Yet we also maintain the entrepreneurial spirit of a “small firm.” So you’ll benefit from having a well-developed infrastructure of support while enjoying an environment that both encourages and rewards your innovative thinking. We offer a competitive