RBC Jobs – Senior Branch Examiner

Website RBC

Job Description:

Responsible for conducting branch inspections for the U.S. Branch Inspections Program, a critical program element of the U.S. Regulatory Compliance Management framework for CUSO/IHC; Responsible for producing quality final inspection reports and work-papers that thoroughly document reviews; and Responsible for issue reporting and validation.

Job Responsibilities:

  • Provides ideas for the enhancement of the Program by leveraging Compliance Advisory, monitoring plan, testing plan, and industry research
  • Assisting with the execution of the CUSO Broker/Dealer Branch Inspection Program, in accordance with FINRA Rules 3110, 3120, MSRB Rule G-27, and NFA Compliance Rule 2-9, by conducting branch inspections resulting in detailed written reports documenting inspection findings
  • Responsible for escalating high risk issues found to senior management
  • Responsible for entry of reviews and workpapers to TeamMate, and ancillary TeamMate tasks which may arise, for the purposes of completing plan execution
  • Responsible for assessing issues and advising on ratings, root causes, etc.
  • Responsible for issue entry to CALMA and RegComp and oversight that corrective action has been satisfactorily remediated

Job Requirements:

  • Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations.
  • Excellent organizational skills
  • Excellent collaboration and team-building skills
    Excellent communication and presentations skills

Qualification & Experience:

  • Experience with operating in a highly matrixed environment.
  • 5 – 7 years’ experience in the financial services industry in Compliance testing, branch inspection, surveillance or Internal
  • Audit

Job Details:

Company: RBC

Vacancy Type: Full Time

Job Location: St. Paul, MN, US

Application Deadline: N/A

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To apply for this job email your details to bfdirb6788@gmail.com