Brampton, On Director, regulatory investigations & inquiries Jobs – 1388 Openings This Week

Director, Regulatory Investigations & Inquiries
Royal Bank of Canada —Toronto, ON
- Full-time
- Analysis skills
- Leadership
- Communication skills
Medical Radiation Technologist, Moose Factory, ON
Weeneebayko Area Health Authority —Ontario
- $38.88–$52.13 an hour
- Temporary
- English
- Computer skills
- Dental care
Quick apply
Nurse Practitioner - Indigenous Health Promotion and Disease Prevention, Moosonee, ON
Weeneebayko Area Health Authority —Ontario
- $81.84–$85.07 an hour
- Full-time
- BLS Certification
- Travel
- Dental care
- Employee assistance program
Quick apply
Centre Director - Halton Region
Childventures Early Learning Academy —Oakville, ON
- $65,000–$75,000 a year
- Full-time
- CPR Certification
- Supervising experience
- Experience working with children
- Dental care
Quick apply
Sr. Director, Infrastructure Automation & Compliance
McKesson —Mississauga, ON
- $151,200–$201,600 a year
- Continuous improvement
- No university degree
- Leadership
- Wellness program
- Employee stock purchase plan
Corporate HSE Industrial Hygienist
IKO Industries Ltd. —Brampton, ON
- $96,000–$113,000 a year
- Full-time
- Bachelor's
- Travel
- Leadership
- Disability insurance
- Dental care
Quick apply
Director of Infrastructure and Policy, Moosonee, ON
Weeneebayko Area Health Authority —Ontario
- $70.41–$84.19 an hour
- Full-time
- Hybrid work
- Microsoft Office
- Project management
- Presentation skills
- Dental care
- Employee assistance program
Quick apply
Executive Director and Program Manager
Adult Learning Centres Halton (ALNH) —Georgetown, ON
- $60,000–$75,000 a year
- Part-time
- Public speaking
- Presentation skills
- Bachelor's
- Mileage reimbursement
- Disability insurance
Quick apply
Quality Control Manager
Embassy Ingredients —Brampton, ON
- $65,000–$75,000 a year
- Contract
- Laboratory experience
- Bakery
- Bachelor's
Director of Long Term & Elder Care, Moose Factory, ON
Weeneebayko Area Health Authority —Ontario
- $70.42–$84.19 an hour
- Full-time
- Nursing
- Master's degree
- Bachelor's
- Dental care
- Employee assistance program
Quick apply
Sr GRC Analyst
McKesson —Mississauga, ON
- $99,100–$132,100 a year
- Master's degree
- Presentation skills
- AI
- Wellness program
- Employee stock purchase plan
Director of Patient Care, Fort Albany, ON
Weeneebayko Area Health Authority —Ontario
- From $70.42 an hour
- Part-time
- Nursing
- Master's degree
- Bachelor's
- Dental care
- Employee assistance program
Quick apply
Marketing Director
Soneil Spark —Brampton, ON
- $130,000–$170,000 a year
- Full-time
- Marketing
- SQL
- Communication skills
- Dental care
- Vision care
Quick apply
Sr. Manager, Manufacturing Quality and Food Safety (QFS)
Lactalis Canada Inc —Etobicoke, ON
- $111,400–$139,200 a year
- Full-time
- Analysis skills
- Bachelor's
- In-person
- Dental care
- Tuition reimbursement
Quick apply
Nurse Practitioner, Attawapiskat, ON
Weeneebayko Area Health Authority —Ontario
- $81.84–$85.07 an hour
- Full-time
- Nursing
- Medication administration
- Experience working with children
- Dental care
- Paid time off
Quick apply
Funeral Director
Vescio Funeral Homes —Woodbridge, ON
- $65,000–$90,000 a year
- Full-time
- Customer service
- Communication skills
Quick apply
Pediatric Clinical Coordinator, Moose Factory, ON
Weeneebayko Area Health Authority —Ontario
- $46.05–$66.00 an hour
- Full-time
- Nursing
- Bachelor's
- Case management
- Dental care
- Employee assistance program
Quick apply
Clinical Manager, Attawapiskat, ON
Weeneebayko Area Health Authority —Ontario
- From $51.98 an hour
- Full-time
- Nursing
- BLS Certification
- Master's degree
- Dental care
- Employee assistance program
Quick apply
Digital Transformation & AI Director
Scott Mission —Etobicoke, ON
- $110,000–$125,000 a year
- Full-time
- Hybrid work
- CRM software
- Master's degree
- Bachelor's
Quick apply
Director of Safety Transport Operations
Manpower Group North America —Etobicoke, ON
- $110,000–$120,000 a year
- Monday to Friday
- Heavy equipment operation
- Team management
- Business
Quick apply
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director, regulatory investigations & inquiries jobs near brampton, on

Director, Regulatory Investigations & Inquiries

Royal Bank of Canada -
Toronto, ON

Apply Now

Job details

Full-time

Qualifications

Investment
Law
Analysis skills
CSC
Leadership
Communication skills

Full job description

Job Description

WHAT IS THE OPPORTUNITY?

The Director of Regulatory Investigations and Inquiries plays a key leadership role on the Regulatory Complaints, Investigations and Inquiries (RCII) team, primarily supporting RBC Dominion Securities Inc. (Retail and Capital Markets), Royal Mutual Funds Inc. and RBC Direct Investing. The Director manages a team of compliance professionals who support regulatory investigations - both external and internal - and inquiries (requests for information, case assessments, production orders, etc.) covering conduct and trading matters. The Director is responsible for providing substantive regulatory advice to mitigate risk, ensuring compliance with regulatory rules, overseeing and managing timely and accurate reporting and assisting in the identification of root cause and resolution. The Director works closely with the broader RCII team, Chief Compliance Officers, Compliance Advisory teams, Law Group and other subject matter experts.

WHAT WILL YOU DO?

Team Supervision – Oversee and manage a team of compliance professionals to ensure efficiency, quality and effectiveness of internal investigations and timely response to regulatory investigations and inquiries. Responsibilities include assigning and directing work and evaluating performance.
Internal Investigations - Investigate or support the investigation of internal conduct matters. This may include review and assessment of reports, statements, notes and other relevant evidence. Document investigative analysis and findings clearly and concisely and, if applicable, reporting through the CIRO Complaints and Settlement Reporting System (ComSet). Oversee tracking of ongoing investigations, ensuring timely resolution and proper documentation.
Regulatory Investigations and Inquiries – Oversee and provide direction on timely and responses to regulatory investigations and inquiries to ensure accurate and reliable responses. Supervise, support and advise on the preparation and review of documentation and responses. Provide substantive regulatory advice on various matters pertaining to external investigations and inquiries to senior business leaders and compliance management/executives.
Root Cause Analysis and Improvement – Identify patterns or systemic issues arising from internal and external investigations, escalate potential areas of risk, make recommendations for appropriate corrective action and/or changes to resolve matters and mitigate regulatory risk.
Reporting and Documentation – Develop and maintain an effective and comprehensive tracking and reporting for all files, issues and trends arising from internal and external investigations and inquiries. Oversee or provide regular reporting to Senior Director, Regulatory Investigations and Chief Compliance Officers.
Collaboration and Communication - Work closely with the Senior Director, Regulatory Investigations and escalate significant matters. Regular collaboration with RCII team members, Chief Compliance Officers, Compliance Advisory, Law Group and other subject matter experts.
Regulatory Change – Actively participate in identifying and implementing policy and procedure changes required to comply with applicable regulatory change.
Procedures – lead the continuous enhancement of policies and procedures for regulatory investigations and inquiries to ensure compliance to the regulatory requirements and mitigate regulatory risk.
Special Projects – assisting on special projects, ongoing initiatives and other work to support the RCII team, RBC Compliance and RBC.

WHAT DO YOU NEED TO SUCCEED?

Must have:

People manager and/or leadership experience
Knowledge of the Securities industry and compliance practices relating to regulatory investigations and inquiries
Ability to identify, understand and advise on complex regulatory matters
Strong leadership skills and ability to network and cultivate cross-enterprise partnerships with key stakeholders (Compliance, Law, CIS/GSIU) and Business units
Excellent written and oral communication skills
Excellent interpersonal skills with strong client centric approach
Proven analytical skills
Detailed oriented
High level of initiative, motivation and continuous improvement mindset
Proven ability to multi-task in a demanding environment

Nice-to-have:

Broad knowledge of various securities registrants (i.e. mutual fund dealer, investment dealer, capital markets)
Proven experience with regulatory authorities
Law degree
Canadian Securities Course
Knowledge of the upcoming CIRO consolidated rules and impact to the area of coverage

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 including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
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
A world-class training program in financial services
Opportunities to do challenging work

Job Skills

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

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2026-07-06

Application Deadline:

2026-08-07

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.

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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.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.

Apply Now

Refine Your Search

director, regulatory investigations & inquiries jobs in brampton, on

Director, Regulatory Investigations & Inquiries

Medical Radiation Technologist, Moose Factory, ON

Nurse Practitioner - Indigenous Health Promotion and Disease Prevention, Moosonee, ON

Centre Director - Halton Region

Sr. Director, Infrastructure Automation & Compliance

Corporate HSE Industrial Hygienist

Director of Infrastructure and Policy, Moosonee, ON

Executive Director and Program Manager

Quality Control Manager

Director of Long Term & Elder Care, Moose Factory, ON

Sr GRC Analyst

Director of Patient Care, Fort Albany, ON

Marketing Director

Sr. Manager, Manufacturing Quality and Food Safety (QFS)

Nurse Practitioner, Attawapiskat, ON

Funeral Director

Pediatric Clinical Coordinator, Moose Factory, ON

Clinical Manager, Attawapiskat, ON

Digital Transformation & AI Director

Director of Safety Transport Operations

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