Job Description
What is the opportunity?Serve as direct supervisor relative to all sales and trade-related activities for the complexes assigned. The SRM role is critical to the first line of defense and leading the firm’s efforts for successfully protecting the RBC WM brand and managing the risk inherent in the activities conducted by the Firm’s complex/branch employees and clients. The SRM is responsible for effectively supervising the daily, weekly, monthly and periodic business activities performed by FAs and support staff in the field as well as performing oversight of certain supervisory activities that will remain the responsibilities of complex/branch management. The SRM position aligns with overall business strategic imperatives by way of conducting required supervision that allows for identification of potentially problematic activities in their earliest stages and ensuring corrective action to protect and ultimately increase RBC’s and the field’s reputation and productivity.What will you do?Review daily trade and periodic activity via the trade blotter and conduct necessary investigation and follow-up as warranted; review all related supervisory reports
Review and approve new accounts and account updates to client and account profiles
Perform account triage and in-depth analysis for monthly account reviews and work with field management to ensure client contact and action steps are completed, and corrective action is implemented as warranted
Perform analysis on Inactive advisory accounts, work with field management on a recommended course of action that confirms the client’s best interests are being served
Assess risk in all areas of responsibility and escalate potential problems and concerns to the appropriate parties; monitor issue through resolution
Work with complex management on systemic weaknesses that pose risk to ensure corrective measures are implemented to improve behaviors
Work with corporate and field personnel to investigate and resolve potential sales practice issues
Maintain a high level of confidentiality in accordance with department, Firm and enterprise standards
3-5 years of direct supervisory experience in a broker/dealer
Series 7, 63/65 or 66 and Series 8 or 9/10 or an equivalent combination. Other licenses may be required
Excellent understanding of the stock market, investments and investment programs
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 proven verbal and written communications skills
Very strong inter-personal skills
Ability to balance the need for identifying and resolving difficult sales practice violations with maintaining a strong professional partnership with field employees – especially field leadership (ability to be tough but fair)
Proven ability and temperament to handle difficult people, situations and conflict
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.
Drives RBC’s high-performance culture
Enables collective achievement of our strategic goals
Generates sustainable shareholder returns and above market shareholder value
Address:
250 NICOLLET MALL:MINNEAPOLISCity:
MinneapolisCountry:
United States of AmericaWork hours/week:
40Employment Type:
Full timePlatform:
WEALTH MANAGEMENTJob Type:
RegularPay Type:
SalariedPosted Date:
2026-06-18Application Deadline:
2026-08-01Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date aboveOur Employment OpportunitiesAt 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
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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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