Senior Remote Branch Compliance Examiner

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

Job summary

Royal Bank of Canada is seeking a Remote Branch Examiner to conduct virtual branch inspections across multiple Firm locations, ensuring compliance with FINRA, SEC, and MSRB requirements. The role involves leading discussions, reporting findings, and training junior staff.

The position requires 5–7+ years in banking compliance, knowledge of relevant rules, and familiarity with capital markets and wealth management products. A hybrid work arrangement and periodic EST hours are required.

Qualifications

• Bachelor’s Degree required.
• 5–7+ years of banking compliance experience.
• Knowledge of FINRA Rule 3110, SEC and MSRB rules.
• Familiarity with Capital Markets and Wealth Management products.
• Experience in Compliance Testing, QA, Branch Inspections, Surveillance or Internal Audit.

Responsibilities

• Conduct virtual inspections across Firm locations.
• Lead discussions with branch personnel and prepare final reports.
• Train offshore and new examiners on policies and practices.
• Coordinate on-site inspections across time zones.
• Update branch questionnaires and inspection scripts.
• Work U.S. EST hours one week per month.
• Assist with special regulatory investigations and escalations.
• Maintain a hybrid work arrangement with regular in-office presence.

Skills

Banking compliance

Regulatory knowledge

Branch inspections

Education

Bachelor’s Degree

Job description

Royal Bank of Canada is seeking a Remote Branch Examiner to conduct virtual branch inspections across multiple Firm locations, ensuring compliance with FINRA, SEC, and MSRB requirements. The role involves leading discussions, reporting findings, and training junior staff.

The position requires 5–7+ years in banking compliance, knowledge of relevant rules, and familiarity with capital markets and wealth management products. A hybrid work arrangement and periodic EST hours are required.