Remote Branch Inspection Lead — Compliance

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

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.