Associate Complex Manager - Seattle WA

Job Description

What is the opportunity?

Join the RBC Wealth Management team and play an integral part in supervising the daily business activities performed by the Financial Advisors in all the branches within the complex and work in partnership with the Complex Director. As the Associate Complex Manager, you will oversee the operations within the complex and manage the support staff in all the branches.

What will you do?

• Oversee all aspects of staffing including interviewing, hiring, coaching, and terminating support staff. Conduct performance appraisals and work with employees to identify opportunities for personal and professional development. Ensure employee goals and development plans are written and followed. Monitor performance and take appropriate action to correct and/or resolve performance and/or disciplinary problems
• Onboard all new Financial Advisors by overseeing the process of coordinating new client paperwork and providing guidance on company-wide systems and procedures
• Review and approve all daily business activities for the complex including new accounts, marketing materials, annuity and life insurance transactions, alternative investments and options agreements. Supervise Complex Operations Manager (COM) and Complex Operations Associates (COA) to ensure operation functions are performed in timely and efficient manner
• Respond to requests from employees and various departments within RBC including Compliance, Surveillance, and Legal
• Prepare for complex and branch annual compliance inspection. Create and implement action plans to address identified deficiencies. Actively ensure all anti-money laundering policies and procedures are communicated and followed

What do you need to succeed?

Must-have

• 7+ years of industry experience with 3+ years of management/supervisory experience
• Strong leadership skills with a proven ability to effectively influence others
• Ability to independently manage multiple demands and competing priorities and the ability to work effectively in a fast-paced, deadline-oriented environment with strong decision-making abilities
• Series 7, 8 (or 9/10) and 66 (or 63/65) and Insurance licenses required for each state in complex
• Comprehensive and in-depth knowledge of investment products and strategies, and their suitability for clients based on investment objectives and financial status

Nice-to-have

• Bachelor’s degree
• 5+ years of management/supervisory experience

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 great benefits, annual incentive program and recognition
• Leaders who support your development
• A dynamic, collaborative, and high-performing team
• Opportunities to do challenging work and grow your career
• Work-life integration
• Positive work culture emphasizing diversity and inclusion, volunteerism and community involvement

WMUS

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JOB SUMMARY
City: Seattle
Address: 401 Union St Suite 3600
Work Hours/Week: 40
Work Environment: Branch
Employment Type: Regular - U.S.
Career Level: Experienced Hire/Professional
Pay Type: Salaried
Required Travel (%): 0-25
Exempt/Non-Exempt: Exempt
People Manager: Yes
Application Deadline: 11/30/2021
Platform: Wealth Management
Req ID: 403225
Ad Code(s):