Remote Branch Compliance Auditor

RBC; Kuala Lumpur; Hybrid; MYR 120,000 - 180,000; Full time

Job summary

RBC is seeking an experienced Branch Inspector to conduct virtual and occasional on-site inspections across RBC broker-dealers, focusing on controls, privacy, and information barriers. The role includes leading discussions, drafting reports, and improving inspection processes.

Candidates should have a Bachelor’s degree and 5–7+ years in banking compliance with FINRA/SEC/MSRB knowledge. A hybrid work arrangement with regular in-office presence is offered in Malaysia.

Qualifications

• Bachelor’s degree required in a relevant field.
• 5–7+ years of experience in banking compliance.
• Knowledge of FINRA Rule 3110, SEC, and MSRB expectations.
• Experience in Capital Markets or Wealth Management at a US-registered broker-dealer.

Responsibilities

• Perform virtual branch inspections across Wealth Management and Capital Markets.
• Identify policy violations including information barriers, off-channel communications, privacy issues, and recordkeeping.
• Lead discussions with site personnel and prepare final written reports for senior management.
• Contribute ideas to improve the Branch Inspection Program and train offshore/new examiners.
• Coordinate with On-site Examiners across time zones and support on-site/virtual inspections.

Skills

Banking compliance knowledge

FINRA/SEC/MSRB knowledge

Capital Markets familiarity

Wealth Management familiarity

Compliance Testing

Quality Assurance

Branch Inspections

Surveillance

Internal Audit

Education

Bachelor's Degree

Masters or Law Degree (Nice-to-have)

Job description

RBC is seeking an experienced Branch Inspector to conduct virtual and occasional on-site inspections across RBC broker-dealers, focusing on controls, privacy, and information barriers. The role includes leading discussions, drafting reports, and improving inspection processes.

Candidates should have a Bachelor’s degree and 5–7+ years in banking compliance with FINRA/SEC/MSRB knowledge. A hybrid work arrangement with regular in-office presence is offered in Malaysia.