Supervisory Risk Principal

Supervisory Risk Principal

As a Supervisory Risk Principal, you will be responsible for collecting the required documentation for foreign client account onboarding, applying Firm policy requirements for foreign accounts and identifying/escalating identified risks to the Business Supervision Group and Complex Management. This role is a critical first line of defense position leading the firm's efforts to protect our brand while managing the risk inherent to the activities conducted by our complex/branch employees and foreign clients.

What will you do?

• Review and approve foreign account paperwork for international accounts
• Confirm foreign client account records are appropriately setup on account opening systems
• Confirm the client resides in an approved foreign jurisdiction
• Confirm the Advisor is approved for the intended foreign jurisdiction where the client resides
• Assign cross border training for new International Financial Advisors (IFA)
• Confirm the IFA has been provided the appropriate cross border rules for the intended foreign jurisdiction and obtain the IFA's attestation regarding their understanding of them
• Assess risk in all areas of responsibility and escalate potential problems and concerns to the appropriate parties; monitor issues through resolution
• Work with complex management on new recruits that have foreign clients intended to onboarded to assess if they fit within the risk appetite and policy requirements of the company
• Ensure Anti-Money Laundering (AML) policy & procedures are followed and respond to the department's Enhanced Due Diligence, Client Due Diligence and surveillance requests
• Ensure all required documents are maintained and archived appropriately
• Stay abreast of various cross border rules with regard to new accounts & expected trade related activity
• Maintain a high level of confidentiality in accordance with department, business unit and enterprise standards
• Serve as a supervisory subject matter expert on firm initiatives; work with BSG leadership to design related supervisory procedures
• Maintain a high level of knowledge on industry trends and areas of focus to ensure appropriate supervisory practices are in place

What do you need to succeed?

Must-have

• 5-7 years of industry related experience
• 3-5 years of direct supervisory risk experience in a broker/dealer
• Series 7, 66 and 9/10
• Excellent understanding of AML Customer Due Diligence rules
• Comprehensive and in-depth knowledge of investment products and strategies and their suitability for clients based on investment objectives, risk tolerance and financials
• An understanding of the securities industry's regulatory environment and related policies and procedures
• Strong and verbal and written communications skills

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 $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.

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

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Job Details

Address: 250 NICOLLET MALL, 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: 2026-07-17, Application Deadline: 2026-07-16

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