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VP, US Client KYC and Regulatory Onboarding

RBC Capital

RBC Capital

Jersey City, NJ, USA
Posted on Monday, June 10, 2024

Job Summary

Job Description

What is the opportunity?

This is a fast-paced and ever-changing environment with multiple stakeholders and regulatory requirements. You will interact with team members in Global KYC Refresh Team and KYC Onboarding Teams in US, UK, and APAC Interact and provide support with team members in the Account Management Team, Operations, Internal Audit, CEG, Sales Support and clients on an as-needed basis.

You will lead the Capital Markets Regulatory and KYC Operations in line with global and regional regulatory requirements, monitor and resolve issues of non-compliance and establish preventative controls to ensure regulatory compliance. You will oversee the day-to-day global operations to ensure team is operating effectively and that controls are designed to minimize the operational risks for satisfactory internal audit.

What will you do?

  • Lead Client Lifecyle Management strategies aimed at improving client experience and mitigating regulatory concerns Ensure procedures, policies and guidelines are kept up to date for global operations Optimize KYC and Regulatory processes in order to reduce cycle time, manual effort and improve both end user experiences and realize cost savings.
  • Oversee allocation of resources and costing to manage priorities in order to effectively meet goals and objectives
  • Develop and oversee data quality reporting and ensure senior management is informed of data quality issues and operational risks that are identified as impactful to downstream processes or the business operations.
  • Provide coaching and mentorship on a regular basis, focusing on team development and learning, with the goal of increasing skills, knowledge, and relationships within the broader group and the overall enterprise.
  • Ensure firm adherence to all KYC/AML guidelines and regulatory policies Act as lead participant for audits, regulatory exams and ensure any issues and observations are addressed appropriately, highlight issues to Senior Management and close audit issues on time. Work with regional Compliance teams to raise commonly encountered issues, completion of high risk reviews and obtain consensus to streamline requirements globally.
  • Respond to regulatory queries from internal business partners & ensure timely escalation of issues Lead Global KYC leadership team to ensure that KYC book of record (Fenergo) is managed effectively in its role as core repository for KYC information globally.
  • Serve as a point of contact for Business, AML Compliance and Financial Crime escalations Implement policies and procedures reasonably designed to obtain and retain a record of the essential facts concerning each counterparty whose identity is known to RBC prior to the execution of the transaction.

What You Need To Succeed?

  • Required Minimum 5 years recent or relevant KYC/AML experience with a financial institution, preferably in Capital Markets BA / BS or equivalent In-depth knowledge of local and global KYC/AML, Capital Markets industry, or taxation regulatory requirements (IIROC, OSFI, IRS, etc.)
  • Familiarity with Capital Markets products, trade systems and business lines. Supervisory and coaching/training experience Preferred Formal qualification at Graduate or Post Graduate Level Knowledge of products and operations of Capital Markets Investment Banking
  • Behavioral Sound written and spoken communication skills Ability to influence and direct internal and external colleagues Good presentation skills: and Good problem solving and analytical skills.
  • Technical Knowledge of AML, TF regulatory obligations and operational implications Ability to adapt and learn new tools and technology driven processes.
  • Strong capability to think critically and propose innovative solutions.

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
  • Opportunities to do challenging work
  • Opportunities to building close relationships with clients

The good-faith expected salary range for the above position is $125,000 - $185,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

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

Communication, Competitive Markets, Decision Making, Financial Services Industry, Foreign Exchange (FX) Trading, Interpersonal Relationship Management, Knowledge Organization, Operational Delivery, Risk Management, Securities Laws

Additional Job Details




Jersey City


United States of America

Work hours/week:


Employment Type:

Full time


Capital Markets

Job Type:


Pay Type:


Posted Date:


Application Deadline:


Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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