Manager, Remote Branch Examiner

RBC Shared Services Malaysia Sdn Bhd; Putrajaya; Hybrid; MYR 180,000 - 240,000; Full time

Job summary

RBC Shared Services Malaysia Sdn Bhd in Malaysia is seeking a senior Branch Inspector to support the Central Compliance team. You will conduct remote and on-site inspections across RBC broker-dealers, review information barriers, privacy, and recordkeeping, and prepare final reports for senior management.

The role requires 5–7+ years in banking compliance, strong FINRA/SEC/MSRB knowledge, and experience in Compliance Testing or Internal Audit.

Qualifications

• Bachelor's degree in a relevant field.
• 5–7+ years of experience in banking compliance.
• Solid knowledge of FINRA Rule 3110, SEC and MSRB expectations.
• Familiarity with US Capital Markets and Wealth Management products.
• Experience in Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, or Internal Audit.

Responsibilities

• Perform remote and on-site branch inspections to detect policy violations.
• Lead discussions with branch personnel and summarize findings in written final reports.
• Maintain documentation and escalate issues for remediation to senior management.
• Train offshore and new examiners on branch inspection policies and practices.
• Collaborate with on-site examiners across time zones for on-site inspections.
• Develop updates to branch questionnaires and inspection scripts.
• Occasionally engage in special regulatory projects or investigations.

Skills

Regulatory knowledge

Banking compliance

Compliance testing

Quality assurance

Branch inspections

Surveillance

Internal audit

Communication (English)

Education

Bachelor's Degree

Masters or Law degree

Job description

The Branch Inspection Program is one pillar of the IMBD Central Compliance team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four broker-dealers within the RBC umbrella: RBC Capital Markets LLC (encompasses both retail and institutional businesses), RBC CMA Ltd., City National Securities, Inc., and CNR Securities, LLC (latter two herein, "CNB broker-dealers"). This team may also participate in special projects within the Central Compliance team and contribute to its overall reporting.

Working hours:

1 Week - US Time- 9.00PM -6.00AM

What will you do?

Branch Inspections:

The Remote Branch Examiner is expected to complete numerous virtual inspections per year of various Firm locations across the Wealth Management and Capital Markets divisions of RBCCM, LLC and CNB broker-dealers.

Conduct comprehensive virtual inspections to detect instances of policy violations in a variety of areas, which include, but are not limited to, information barriers, off-channel communications, safeguarding of information, conflicts of interest, privacy incidents, recordkeeping, etc.

Lead discussions, with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and **escalate** any areas where concerns were noted. The final report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner.

Contribute/generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.

Responsible for training offshore examiners, and new examiners, on branch inspection policies, procedures, practices, and business lines across Wealth Management, Capital Markets, and CNB broker-dealers.

Lead and collaborate with On-site Examiners dispersed across various time zones to complete on-site inspections (as needed).

Contribute content updates to branch questionnaires and inspection review scripts for the on-site and virtual programs and action the updates where necessary.

Must work U.S. Eastern Standard Time (EST) hours one week per month to conduct virtual interviews and assist with other onshore duties as needed.

Special Projects:

Willing to assist with special projects as they arise. Examples include, but are not limited to, relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc.

While remote inspections and interviews are conducted virtually, employees are expected to maintain a hybrid work arrangement with regular in-office presence.

What do you need to succeed?

Must-have

Bachelor's Degree

5-7 or more years of experience in banking compliance

Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations

Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.

Experience in roles in any of the following areas: Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit.

Nice-to-have

Masters or Law School Degree

Unlock job insights

Hirer responsiveness Salary match Number of applicants

Your application will include the following questions:

• Which of the following statements best describes your right to work in Malaysia?
• How many years' experience do you have as an Examiner?
• Do you have experience completing ad hoc and month end reporting?
• How many years' experience do you have as a compliance manager?

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?

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?

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