RBC · 3 weeks ago
Supervisory Risk Principal
Minneapolis, Minnesota, United States of America
Full-time
Onsite
Mid, Senior Level
$85K/yr - $150K/yr
3+ years expRBC is a prominent financial institution, and they are seeking a Supervisory Risk Principal – Complex Products. This role is crucial for managing risk and ensuring compliance within the Wealth Management sector by providing oversight and developing supervisory solutions for complex product transactions.
BankingFinancial ServicesWealth Management
Responsibilities
This role will serve as a subject matter expert on the firm’s policies, procedures and perform daily/weekly/monthly supervision of complex product transactions and strategies in client accounts that are being recommended and implemented by the Firm’s Financial Advisors
Assist with the design, implementation and ongoing monitoring of required supervisory activities related to the various Complex Product lines of business
Identify issues and be able to easily shift priorities as needed to meet the varied needs of the business units it supports
Ability to effectively assess risks to the firm for potential issues and respond accordingly
Comprehensive and in-depth knowledge of investment products and strategies and their suitability for clients based on investment objectives and financial status
Maintain a high level of understanding and expertise on the characteristics and features of various complex product strategies, what drives/hinders their performance, the benefits they offer in certain strategies/portfolios, etc
Maintain a high level of knowledge on industry trends and areas of focus to ensure appropriate supervisory practices are in place with respect to Complex Products
Qualification
Required
College degree and 3-5 years of directly related financial services industry experience
Series 7; Series 63/65 or 66; and Series 9/10 and Series 24
Strong and proven verbal and written communications skills
Strong inter-personal skills, including influence skills in interacting with a diverse group of business partners
Proven ability to develop and maintain good working relationships with members of various business units and external contacts
Proven ability and temperament to handle difficult people, situations and conflict
Proven ability for strong decision-making and to work through difficult and time-sensitive problems and issues
Ability to apply an objective approach to supervisory decisions
Desire to work as part of a team of like professionals, proven ability to collaborate
Detail orientated and strong organizational skills
Strategic mindset with ability to be creative in finding optimal solutions to problems
Desire and ability to identify gaps/weaknesses in existing systems and processes and implement necessary upgrades/changes
Preferred
Life, Accident, Health and Variable Annuity/Insurance License preferred
Benefits
401(k) program with company-matching contributions
Health, dental, vision, life, disability insurance
Paid-time off
Company
RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance.
10001+ employees
H1B Sponsorship
RBC has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (29)
2024 (17)
2023 (3)
2022 (4)
2021 (1)
2020 (2)
Funding
Current Stage
Public CompanyTotal Funding
$16.3B2025-10-30Post Ipo Debt· $5B
2025-09-15Post Ipo Debt· $1.35B
2025-07-10Post Ipo Debt· $177.74M
Leadership Team
Graeme Hepworth
Chief Risk Officer
Kelly Bradley
Chief Human Resources Officer
Recent News
Private Capital Journal
2026-01-09
Company data provided by crunchbase