Remote Branch Examiner

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

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.

Job Description

Working hours

• 3 Weeks - APAC Time - 9.00AM -6.00PM
• 1 Week - US Time- 9.00PM -6.00AM

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 escape 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
• Any FINRA Registrations (Series 7, 24, etc.)

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address

PERSIARAN IRC 2, IOI RESORT CITY IOI CITY TOWER ONE:PUTRAJAYA

City

Putrajaya

Country

Malaysia

Work hours/week

40

Employment Type

Full time

Platform

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type

Regular

Pay Type

Salaried

Posted Date

2026-08-28

Application Deadline

2026-10-31

Note

Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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