162 applicants

Company

RBC · 1 day ago

Branch Examiner & Remote Program Lead

Jersey City, NJ

Full-time

Remote

Mid, Senior Level

$110K/yr - $190K/yr

5+ years exp

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BankingFinancial Services

H1B Sponsor Likely

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Responsibilities

Responsible for reviewing work performed by offshore examiners and verify its accuracy and completion.

Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc.

Have discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted.

Distribution and/or presentation of final reports / inspection findings to business stakeholders, inclusive of senior management.

Contribute and generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.

Assist with the development of the Shared Service reporting framework, Pilot governance, risk assessments, and any other matters pertaining to the US Branch Program.

Qualification

Find out how your skills align with this job's requirements. If anything seems off, you can easily click on the tags to select or unselect skills to reflect your actual expertise.

Compliance TestingQuality AssuranceBranch InspectionsSurveillanceInternal AuditFINRA RulesSEC RegulationsMSRB RulesCapital MarketsWealth ManagementMasters DegreeLaw School DegreeFINRA Registrations

Required

5-7 years of experience in roles in any of the following areas: Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, Business Strategy, and/or Internal Audit.

Bachelor’s degree required.

Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations.

Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.

Preferred

Masters or Law School Degree

Any FINRA Registrations (Series 7, 24, etc.)

Benefits

Discretionary bonus

401(k) program with company-matching contributions

Health, dental, vision, life and disability insurance

Paid time-off plan

Company

RBC

Glassdoor

4.0

Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance.

Founded in 1869

Toronto, Ontario, CAN

10,001+ employees

https://www.rbc.com

H1B Sponsorship

RBC has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2023 (3)

2022 (3)

2021 (3)

2020 (2)