Unlock Your Career Potential with RBC: Join Our Team as a Branch Examiner & Remote Program Lead
At RBC, we're passionate about fostering a culture of innovation, growth, and inclusivity. As a leading financial services organization, we're committed to delivering trusted advice to help our clients thrive and communities prosper. We're now seeking an experienced Branch Examiner & Remote Program Lead to join our US Broker-Dealer Shared Services team, overseeing the day-to-day operations of our comprehensive compliance function and ensuring consistency in our approach to internal business process rules and external regulations.
About the Role
The Branch Inspection Program is a critical component of our compliance framework, responsible for reviewing adherence to FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures across four broker-dealers within the RBC umbrella. As the Branch Examiner & Remote Program Lead, you will play a pivotal role in leading this program, managing a team of examiners, and ensuring the accuracy and completion of their work.
Key Responsibilities
- Lead and Manage the Branch Inspection Program: Oversee the day-to-day operations of the program, ensuring consistency in approach and compliance with internal and external regulations.
- Review and Verify Examiner Work: Review work performed by offshore examiners, verify its accuracy and completion, and provide feedback for improvement.
- Conduct Virtual/On-Site Inspections: Conduct virtual or on-site inspections to detect instances of policy violations, including information barrier concerns, safeguarding of information, conflicts of interest, and more.
- Communicate Findings and Recommendations: Summarize reviews in written final reports, maintain appropriate documentation, and escalate areas of concern to senior management.
- Present Inspection Findings: Present final reports and inspection findings to business stakeholders, including senior management, and provide recommendations for improvement.
- Drive Program Enhancements: Contribute to and generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.
- Support Reporting Framework and Governance: Assist with the development of the Shared Service reporting framework, Pilot governance, risk assessments, and other matters pertaining to the US Branch Program.
Essential Qualifications
- 5-7 Years of Relevant Experience: Experience in roles related to Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, Business Strategy, and/or Internal Audit.
- Bachelor's Degree: A Bachelor's degree in a relevant field is required.
- Knowledge of Regulatory Expectations: Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations.
- Familiarity with Capital Markets and/or Wealth Management: Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.
Preferred Qualifications
- Advanced Degree or Professional Certification: A Master's or Law School Degree is preferred.
- FINRA Registrations: Any FINRA registrations (Series 7, 24, etc.) are considered a plus.
Skills and Competencies
To succeed in this role, you'll need to possess a combination of technical knowledge, business acumen, and leadership skills. Key competencies include:
- Compliance and Risk Management: Strong understanding of compliance and risk management principles, practices, and regulations.
- Leadership and Team Management: Proven ability to lead and manage a team, providing guidance and feedback to ensure high-quality work.
- Communication and Presentation: Excellent written and verbal communication skills, with the ability to present complex findings to senior management.
- Analytical and Problem-Solving: Strong analytical and problem-solving skills, with the ability to identify areas of concern and provide recommendations for improvement.
Career Growth Opportunities and Learning Benefits
At RBC, we're committed to helping our employees grow and develop their careers. As a Branch Examiner & Remote Program Lead, you'll have access to:
- Continued Opportunities for Career Advancement: Opportunities to advance your career within the organization, taking on new challenges and responsibilities.
- World-Class Training and Development: Access to world-class training and development programs, helping you stay up-to-date with industry trends and best practices.
- Collaborative and Dynamic Team: Support from a dynamic, collaborative, and high-performing team, with opportunities for networking and professional growth.
Work Environment and Company Culture
At RBC, we pride ourselves on our inclusive and diverse culture, fostering an environment where employees can bring their true selves to work. As a remote worker, you'll be part of a global team that values:
- Diversity and Inclusion: We're committed to building inclusive teams and an equitable workplace, promoting diversity and inclusion in all aspects of our business.
- Flexibility and Work-Life Balance: We offer flexible work arrangements, recognizing the importance of work-life balance and employee well-being.
- Collaborative and Innovative Culture: We're a collaborative and innovative organization, encouraging employees to share their ideas and perspectives to drive business success.
Compensation, Perks, and Benefits
We offer a comprehensive Total Rewards Program, including:
- Competitive Compensation: A competitive salary, with a good-faith expected salary range of $110,000-$190,000, depending on experience, skills, and market conditions.
- Bonuses and Flexible Benefits: Opportunities for bonuses and flexible benefits, recognizing employee contributions and supporting work-life balance.
- Comprehensive Benefits Package: A comprehensive benefits package, including health, dental, vision, life, and disability insurance, as well as a 401(k) program with company-matching contributions.
Join Our Team
If you're a motivated and experienced professional looking to take your career to the next level, we encourage you to apply for this exciting opportunity. Don't worry if you don't meet every single requirement – we value a great attitude and a willingness to learn above all. Submit your application today and join our team at RBC!
At RBC, we're committed to providing an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
We are an equal opportunities employer, committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work.
Apply Now