Compliance - Senior Testing Officer

RBC; Irvine (CA); On-site; USD 90,000 - 135,000; Full time

Job summary

RBC, une institution financière de premier plan, recherche un Compliance - Senior Testing Officer pour mener des examens de conformité au sein de son programme. Vous serez responsable de développer une approche rigoureuse pour les tests, superviser d'autres testeurs, et produire des rapports de qualité. Avec un salaire annuel compétitif et des avantages flexibles, cette position offre la possibilité d'une collaboration dynamique et d'un impact significatif.

Benefits

Competitive compensation

401(k) program with company-matching contributions

Health, dental, vision insurance

Paid-time off

Qualifications

• Compréhension des exigences de 12 CFR 9 et des concepts de gestion des risques pour les affaires fiduciaires.
• Expérience éprouvée en méthodologies de tests de conformité.
• Communication et compétences organisationnelles excellentes.

Responsibilities

• Conduire des tests sur les contrôles et la conformité aux exigences réglementaires.
• Documenter les conclusions et produire des rapports de tests.
• Assister à la validation des problèmes et des initiatives d'amélioration.

Skills

Audits Compliance

Critical Thinking

Data Gathering Analysis

Decision Making

Internal Controls

Risk Management

Strategic Thinking

Education

5+ years of experience in Banking Compliance Testing, Internal Audit

Job description

Compliance - Senior Testing Officer, Trusts and Fiduciary

Join to apply for the Compliance - Senior Testing Officer, Trusts and Fiduciary role at RBC

Compliance - Senior Testing Officer, Trusts and Fiduciary

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What is the opportunity?

The Sr. Compliance Tester leads and conducts independent compliance reviews for the U.S. Compliance Testing Program, a critical program element of the U.S. Regulatory Compliance Management framework for RBC’s CUSO/IHC. This position is responsible for developing a sound approach to testing, executing testing, overseeing the work of other testers assigned to the review, and producing quality final testing reports and work-papers that thoroughly document testing conducted and corresponding conclusions. The Sr. Compliance tester may also support issue validation as well as other initiatives aimed at enhancing the overall Compliance Testing Program.

Job Summary

Job Description

What is the opportunity?

The Sr. Compliance Tester leads and conducts independent compliance reviews for the U.S. Compliance Testing Program, a critical program element of the U.S. Regulatory Compliance Management framework for RBC’s CUSO/IHC. This position is responsible for developing a sound approach to testing, executing testing, overseeing the work of other testers assigned to the review, and producing quality final testing reports and work-papers that thoroughly document testing conducted and corresponding conclusions. The Sr. Compliance tester may also support issue validation as well as other initiatives aimed at enhancing the overall Compliance Testing Program.

What will you do?

• Conduct testing across the CUSO/IHC, inclusive of the testing of controls and adherence to regulatory requirements
• Perform research on regulatory requirements and business controls to determine optimal approach to testing while employing a risk-based approach
• Lead reviews and guide other testers, but may also assist other team members with completing reviews and/or portions of testing
• Document conclusions of testing, including detailed workpapers as well as written reports documenting conclusions and findings
• Assist with the reporting of the status of reviews in support of Test Plan Governance, including progress to plan reporting and change management
• Provide ideas for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Partners, and industry research
• Responsible for assessing issues and advising on ratings, root causes, etc., and effectively communicating to Line of Business and compliance partners to obtain agreement
• Responsible for escalating high risk issues found to senior management
• Responsible for issue entry to CALMA and RegComp and oversight that corrective action has been taken and issues satisfactorily remediated
  
  

Must haves:

• Understanding of 12 CFR 9 requirements and regulatory expectations noted in corresponding OCC handbooks.
• Understanding of risk management concepts for Trust and Fiduciary business areas, including key account administration best practices by various account types.
• 5+ years of experience in Banking Compliance Testing, Internal Audit, or an examiner at a financial institution’s regulatory agency.
• Proven experience in compliance testing methodologies and/or audit experience.
  
  

Nice to Have

• Experience operating in a highly matrixed environment.
• Excellent communication and presentations skills.
• Excellent organizational skills.
• Excellent collaboration and team-building skills.
  
  

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.
  
  

The expected salary range for this particular position is $90,000-$135,000, depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC’s high-performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value
  
  

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:

CNB, 350 SOUTH GRAND AVENUE:LOS ANGELES

City:

Los Angeles

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-06-13

Application Deadline:

2025-07-31

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

Inclusion and Equal Opportunity Employment

At 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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Seniority level

• Seniority level

  Not Applicable

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Banking and Financial Services

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