Director Client Service & Operations Risk & Control

• Work with Head of Client Service and Operations to develop, implement and maintain policy, procedures and processes aligned with Heightened Standards.
• Partner collaboratively with compliance team to create and implement a plan to migrate support 2nd line of defense has provided to the 1st line investment research team in support of the CNR business and mutual fund operations including Committee Governance, scheduling meetings, setting agendas, taking notes of meetings, track follow up items, scheduling meetings with external vendors and oversight of relevant reports in support of Proxy Voting, Best Execution, Liquidity and Risk Management and Pricing and Valuation committees.
• Develop policies and procedures for criteria used to escalate problems that occur.
• Create, implement and monitor a comprehensive risk appetite framework for investment solutions.
• Lead the team’s development and implementation of new programs/strategies, implementation of regulation, rules, and risk management requirements.
• Analyze and evaluate data that effects the technical, operational, and business functions and provide insight to the practical impacts/implications to the business line.
• Work independently or with other team members in conducting research, analyzing and interpreting data and information to support strategies, initiatives, organizational planning and business model adjustments.
• Act as the business liaison for responses and initiatives related to RBC, CNB and CNR Risk, Compliance, Legal, and internal and external audits.
• Act as an intermediary between CNB Wealth Management Leadership / CNR Client Service and others
• Coordinate with RBC and CNB City National Bank’s teams to implement OCC’s Heightened Standards related to enhanced risk management and monitoring of regulatory issues which can impact the servicing of client accounts.
• Oversee creation of comprehensive policy and process documents for investment solutions CNR provides.
• Build, maintain and operationalize document management systems supporting investment solutions and mutual fund related committees.
• Monitory regulatory changes that would impact the investment solutions group.
• Act as a liaison representing CNR Client Service at both internal and external meetings; establishing and cultivating strong working relationships with all stakeholders.
• Lead remediation and development on operational issues, escalating decisions with significant impact to the Head of Client Service and Operations after careful consideration and development of a proposal or potential plan. Work closely with the Business Affairs Teams on initiatives and aid in evolving them such that they become business-as-usual, ultimately distributed to appropriate long-term owners.
• Build and sustain effective relationships and alliances both internally and across all lines of business and staff areas to help deliver results and to ensure opportunities are identified, analyzed and managed appropriately across CNB Wealth Management. Understand interdependencies to achieve success.
• Partner with team members to contribute concise communication materials for senior management. Develop presentations for internal and external meeting that are compelling, concise, and graphical to convey message.
• Contribute to and potentially run special projects and initiatives, as necessary.

Must-Have*

• Bachelor's Degree
• Bachelor's Degree
• Minimum 7 years experience managing projects.
• Minimum 7 years experience within or related to financial services.

Skills and Knowledge

• Minimum three years in an Internal Audit, Risk Management, or Control Management-related role
• Up-to-date understanding of key risk and control concepts, tools and trends relating to risk identification, ratings and prioritizations, mitigation, and reporting
• Ability to lead cross functional teams to assess and mitigate risks
• Exceptional relationship and partnership skills, operational risk management expertise and skills, and knowledge of the regulatory framework and entities affecting operational risk standards and activities
• Strong interpersonal and influencing skills – and ability to interact with colleagues at all levels in a peer-like way, and achieve goals without direct control over resources.
• Defining and deconstructing problems.
• Prioritizing issues and analysis.
• Knowledge in Financial Services, Project Management.
• Demonstrated ability to Influence change, build relationships, communicate effectively, work under pressure, manage multiple priorities and deliver high caliber results.
• Proficiency with MS Excel and PowerPoint.
• Excellent time management, organizational, and prioritization skills and ability to balance multiple priorities.
• An outstanding ability to analyze problems, apply quantitative analytical approaches, communicate effectively and confidently (both oral and written), work well in cross-functional teams.
• Quick learning ability, outstanding analytical skills and a structured way of thinking your attention to details is exceptional.
• Operate well under stress, even faced with tight timelines for ambitious deliverables.
• Significant experience in driving operational change with front line to senior leadership personnel.
• Excellent relationship and stakeholder management skills.
• Be able to handle uncertainty well, and are able to simplify complexity.