Remote Branch Examiner

Royal Bank of Canada; Putrajaya; Hybrid; MYR 120,000 - 180,000; Full time

Job summary

Royal Bank of Canada in Malaysia seeks a Senior Branch Examiner to oversee remote inspections for Wealth Management and Capital Markets. You will lead reviews of information barriers, privacy, and controls, producing reports for senior leaders and stakeholders.

The role requires strong knowledge of FINRA/SEC/MSRB expectations, 5+ years in banking compliance, and a willingness to work hybrid hours including occasional US EST alignment.

Qualifications

• Bachelor’s Degree required with knowledge of banking compliance.
• Experience in FINRA, SEC, MSRB expectations and related rules.
• Familiarity with Capital Markets and Wealth Management products at U.S.-registered broker-dealers.
• Experience in Compliance Testing, Quality Assurance, Branch Inspections, Surveillance or Internal Audit.

Responsibilities

• Conduct remote branch inspections and prepare final reports for stakeholders.
• Detect policy violations across information barriers, privacy, recordkeeping, conflicts of interest.
• Lead discussions with branch personnel and document findings for senior management.
• Contribute ideas for program enhancements using industry research and cross-LOB input.
• Train offshore/new examiners on inspection policies and procedures across business lines.
• Collaborate with on-site examiners to complete on-site inspections as needed.

Skills

Audits

Compliance

Critical Thinking

Data Gathering Analysis

Decision Making

Industry Knowledge

Internal Controls

Interpersonal Relationship Management

Product Services

Risk Management

Strategic Thinking

Education

Bachelor’s Degree

Masters or Law School Degree

Job description

Jora Malaysia will close on 9th September 2026. Thank you for being with us, we are cheering you on as you continue your career journey.

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 - 9.00 PM - 6.00 AM

Responsibilities

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 elevate 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.
• 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.

Requirements

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.