Senior Analyst: Communications Surveillance & Compliance

RBC; Kuala Lumpur; On-site; MYR 67,000 - 112,000; Full time

Job summary

RBC is seeking a Compliance Surveillance professional to monitor and audit communications across RBC Capital Markets, Global Asset Management, Wealth Management, and Transaction Banking and Treasury Services. The role emphasizes timely, consistent reporting aligned with the Compliance and Surveillance Program.

The candidate will conduct monitoring, review alerts, and develop corrective action plans, while maintaining meticulous, audit-ready records.

Qualifications

• Must hold a bachelor degree in Finance, Law, Business or any discipline.
• 2–5 years of experience in Compliance, Internal Audit or Risk Management in the finance services industry.
• Strong proficiency in English with ability to understand region nuances in business communication.
• Ability to handle highly confidential and sensitive information with discretion.
• Advanced proficiency in Excel to manage large datasets of communications logs.

Responsibilities

• Following and revising procedures for monitoring and surveillance activities relevant to the business unit.
• Perform first-level and second-level reviews or flag communications to identify potential compliance breaches.
• Conduct monitoring and surveillance activities relevant to the business unit.
• Identify potential areas of compliance vulnerability and risk; develop corrective action plans.
• Maintain meticulous records of investigations with audit-ready rationale.
• Respond to alleged violations by evaluating or initiating investigative procedures.

Skills

Audits & Compliance

Risk Management

Data Analysis

Critical Thinking

Communication

Regulatory Knowledge

Education

Bachelor degree in Finance, Law, Business or any discipline

Tools

Excel

SQL

Job description

RBC is seeking a Compliance Surveillance professional to monitor and audit communications across RBC Capital Markets, Global Asset Management, Wealth Management, and Transaction Banking and Treasury Services. The role emphasizes timely, consistent reporting aligned with the Compliance and Surveillance Program.

The candidate will conduct monitoring, review alerts, and develop corrective action plans, while maintaining meticulous, audit-ready records.