Minneapolis, Minnesota, United States of America
15 hours ago
Senior Manager - Head of Dispute Resolution and Electronic Communications Compliance

Job Summary

Job Description

What is the Opportunity?

Lead the Dispute Resolution team and oversee the intake, investigations, tracking and resolution of all client complaints.  Ensure regulatory complaint reporting (e.g. 4503, Form U4/U5 disclosures) is timely and accurate.   Analyze complaint trends to identify root causes, potential misconduct, training gaps or systemic issues. 

Responsible for overseeing Wealth Management’s (WM) compliance with regulatory requirements and internal policies related to electronic communications.   Attend WM’s eCommunications Governance Committee to review lexicons and trends identified by WM surveillance.  Provide guidance to business on the compliant use of new or evolving communications platforms. 

What will you do?

Oversee intake, investigations, tracking and resolution of all client complaints.

Ensure timely, fair and consistent responses aligned with regulatory obligations and internal policies

Escalate material or complex issues to legal, risk or senior compliance leaders.

Ensure regulatory complaint reporting (e.g. 4503, Form U4/U5 disclosures) is timely and accurate.  

Respond to regulators during audits or inquiries involving complaint handling

Analyze complaint trends to identify root causes, potential misconduct, training gaps or systemic issues. 

Deliver regular and ad hoc complaint metrics, summaries and trend reports to senior management

Drive operational improvements and leverage technology solutions to improve efficiency

Stay abreast of FINRA, SEC and other applicable regulatory requirements regarding electronic communications and record keeping

Provide guidance to business on the compliant use of new or evolving communications platforms.

Oversee WM electronic communication surveillance teams

Escalate issues identified to the appropriate internal stakeholders

What do you need to succeed?

Bachelor's Degree

FINRA Registrations 7 and 24

MBA or Law Degree preferred

7+ years of relevant experience

Highly organized and analytical with excellent attention to detail

Strong interpersonal and communication skills (both written and verbal) including ability to communicate issues professionally and effectively, while using discretion with sensitive and confidential data

Strong team player who does not operate in a siloed capacity and values collaboration

Agile performer with a strong ability to prioritize and multitask between initiatives

Maintains a curious nature and can think strategically

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 $85,000-$150,000 (Minnesota) 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

#LI – POST

Job Skills

Additional Job Details

Address:

250 NICOLLET MALL:MINNEAPOLIS

City:

Minneapolis

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-07-17

Application Deadline:

2025-07-31

Note: 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.

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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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