Director, Head of Client Onboarding

RBC Capital Markets (RBC CM) is looking for someone to lead a team with responsibility for ensuring an industry-leading experience for the onboarding of Capital Markets clients.

The Director, Head of Client Onboarding will be responsible for managing a smooth experience across all stakeholders and the measurement, delivery, and reporting of client experience across business segments and products.

This senior leadership role is responsible for designing, implementing, and overseeing a best-in-class onboarding framework that ensures seamless client experiences while maintaining the highest standards of compliance with regulatory requirements including AML and KYC.

Responsibilities

• Strategic Leadership and Operating Model: Lead the US KYC team and strategically build it into a sustainable, compliant, and efficient KYC onboarding service for Capital Markets.
• Transformation - CLM Technology Platform (US Requirements): Act as the owner for US requirements for the technology build of the Client Lifecycle Management client onboarding technology platform.
• Regulatory Liaison and Line of Defense Management: Act as the management lead and primary liaison to US Regulators, including but not limited to FINRA, SEC, OCC, FinCEN, and other federal and state regulatory authorities.
• Client Onboarding Team Leadership: Drive a team of customer-facing client onboarding specialists responsible for managing the end-to-end workflow and case management.
• Operational Execution and Workflow Management: Oversee the comprehensive KYC onboarding workflow, including determination of client data and document requirements based on client type, jurisdiction, and product coverage.
• Compliance Engagement, Issue Resolution and Policy Rollout: Serve as the point of escalation for global BAU teams with policy and interpretation questions requiring compliance liaison.
• Knowledge Sharing, Procedures Standards and Training: Identify and implement policy changes into procedures ensuring that operational procedures remain current with regulatory requirements and internal policies.
• People Leadership: Select and build high-performing teams, leveraging individual capabilities and strengths.

Requirements

• Proven leadership experience in Capital Markets with a focus on client experience and onboarding.
• A minimum of ten years of experience in financial services with at least five years in a senior leadership role focused on client onboarding, KYC, AML, or compliance operations within a capital markets or banking environment.
• In-depth knowledge of financial regulations, compliance requirements, and industry best practices.
• Demonstrated experience serving as a liaison to US regulators and managing regulatory examinations, inquiries, and audit activities.
• Strong client relationship management skills with a demonstrated track record of delivering exceptional client experiences in complex operational and regulatory environments.