Compliance Manager, Regulatory Complaints - 6 Month Contract (Possible Extension)

Job Description What is the opportunity?

The Compliance Manager on the Regulatory Complaints, Investigations and Inquiries (RCII) team will primarily be responsible for complaint management and investigation related to Royal Mutual Funds Inc. (RMFI).

What will you do?

Investigate regulatory complaints applicable to RMFI.

This includes reviewing and analyzing documentation and evidence to identify non-compliance.

Gather and evaluate documents, statement of events, and other relevant evidence for…