RBC Jobs – Senior Branch Examiner

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

Apply Here

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