Manager, Compliance Testing

RBC Shared Services Malaysia Sdn Bhd; Putrajaya; On-site; MYR 210,000 - 310,000; Full time

Job summary

RBC Shared Services Malaysia Sdn Bhd is seeking a Compliance Testing Manager to support the UK/Europe Compliance Testing team and assist local CCOs under RBC's Regulatory Compliance Management Framework.

You will help assess risk, review controls, and work with Compliance and business colleagues to resolve issues, while contributing to the continuous enhancement of testing approaches and responding to regulatory inquiries.

Qualifications

• At least 5–7 years of regulatory compliance experience in finance services.
• Deep understanding of Europe regulatory requirements and industry standards.
• Excellent auditing, monitoring, risk and data analytics skills.
• Strong planning, organizing and analytical problem-solving.

Responsibilities

• Assist in completing risk assessments to drive the UK and Europe compliance monitoring plan.
• Contribute to timely reviews opining on controls to manage regulatory risk across Capital Markets, IS Trust, BlueBay & WM.
• Log and track action plans to resolve issues raised during monitoring reviews.
• Help enhance testing approaches and annual testing program.
• Assist with timely responses to internal audits and external regulatory inquiries.
• Support ad-hoc projects and stakeholder management as needed.

Skills

Regulatory compliance

Capital Markets

Audit & risk analytics

Regulatory knowledge Europe

Job description

As an integral member of the UK / Europe Compliance Testing team, the Compliance Testing Manager helps support local Chief Compliance Officers (CCOs) in fulfilling their responsibilities defined under the RBC Regulatory Compliance Management Framework.

What will you do?

• Assist in the completion of effective risk assessments to drive the UK and Europe Compliance Monitoring Plan.
• Contribute to timely and accurate compliance Testing reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk across Capital Markets, IS Trust, BlueBay & WM.
• Work with Compliance and business colleagues to log and track action plans raised to resolve issues identified during monitoring reviews.
• Contribute towards the continual enhancement of the Testing approach and annual Testing program (including providing ideas for developing/improving the approach to continuous business Testing and, where relevant, enhancing the existing Enterprise Monitoring and Testing control standards).
• Assist in the delivery of timely responses to internal audit and external regulatory enquiries.
• Support ad-hoc projects and activities as required (methodology improvements; stakeholder management; committee reporting).

What so you need to succeed?

Must-have

• At least 5-7 years of experience in regulatory compliance within Finance Services (Capital Markets, Wealth Management, Asset Management)
• Deep understanding about the industry standard and legal regulation for Europe region
• Excellent in auditing , monitoring or risk and data analytics skills

Nice-to-have

• Good in planning and organizing.
• Advance analytical thinking and problem solving

At RBC, we get it. We’re committed to creating an environment that will help people realize their full potential. Whether it’s developing new skills, opportunities to innovate and grow, modern and comprehensive benefits, or the flexibility to enjoy the moments that matter, RBC is a great place to build your career and life.

It’s your career. Your life. Where do you want to go?

RBC. Make It Yours

You live a full life shaped by your ideas. By your family. Career. Community. Your unique place in the world. You want an employer that helps you realize your vision for life with a meaningful career and supports your desire for more.

At RBC, we get it. We’re committed to creating an environment that will help people realize their full potential. Whether it’s developing new skills, opportunities to innovate and grow, modern and comprehensive benefits, or the flexibility to enjoy the moments that matter, RBC is a great place to build your career and life.

It’s your career. Your life. Where do you want to go?