Compliance - Senior Testing Officer

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

Job summary

A leading bank seeks a Senior Testing Officer to enhance its Compliance Testing Program. The role demands expertise in regulatory compliance, testing methodologies, and the ability to oversee teams. Responsibilities include conducting reviews, documenting conclusions, and reporting findings to management.

Benefits

Competitive compensation

Flexible benefits

401(k) program with company-matching contributions

Health, dental, and vision insurance

Paid time off

Qualifications

• 5+ years of experience in Banking Compliance Testing, Internal Audit.
• Understanding of 12 CFR 9 requirements and OCC handbooks.

Responsibilities

• Lead independent compliance reviews and testing.
• Document findings and report on compliance status.

Skills

Audits Compliance

Risk Management

Critical Thinking

Interpersonal Relationship Management

Education

Bachelor's Degree or equivalent

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

3 days ago Be among the first 25 applicants

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

Get AI-powered advice on this job and more exclusive features.

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.

Join our Talent Community

Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.

Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com

Seniority level

• Seniority level

  Not Applicable

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Banking and Financial Services

Referrals increase your chances of interviewing at RBC by 2x

Get notified about new Senior Compliance Officer jobs in Los Angeles, CA.

Manhattan Beach, CA $145,000.00-$185,000.00 1 week ago

Title IX Officer and Director of Human Resources Equity and Diversity Policies and Procedures

Bilingual Korean/English Senior Regulatory Affairs Manager - Cosmetics, OTC & Supplements (FDA Compliance

Area Safety, Training and Compliance Manager

Torrance, CA $75,000.00-$85,000.00 4 days ago

Software Engineering Manager, Home Infrastructure, Policy and Compliance

Tax Senior Manager-Financial Services - Global Compliance and Reporting - Real estate-EDGE

Los Angeles Metropolitan Area $65,000.00-$80,000.00 2 weeks ago

Lakewood, CA $130,266.00-$210,877.00 2 months ago

Los Angeles, CA $100,000.00-$120,000.00 1 month ago

Los Angeles, CA $100,000.00-$120,000.00 1 month ago

Lakewood, CA $119,980.00-$186,974.00 2 months ago

Contracts Manager - Contracts, Compliance, Procurement

Los Angeles, CA $80,000.00-$87,000.00 1 month ago

Los Angeles, CA $73,900.00-$110,000.00 4 hours ago

Los Angeles, CA $78,000.00-$120,000.00 2 weeks ago

Employee Relations and Compliance Manager

Equity and Compliance Manager for Academic Recruitment

Northridge, CA $100,000.00-$115,000.00 3 hours ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.