RBC · 7 hours ago
Senior Compliance Testing Officer
Los Angeles, CA
Full-time
Onsite
Mid, Senior Level
$85K/yr - $145K/yr
5+ years expRBC is a prominent financial institution seeking a Senior Compliance Testing Officer to lead and conduct independent compliance reviews for their U.S. Compliance Testing Program. The role involves developing testing approaches, overseeing testers, and producing quality reports while ensuring adherence to regulatory requirements.
BankingFinancial ServicesWealth Management
Responsibilities
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
Assisting with the reporting of the status of reviews in support of Test Plan Governance, including progress to plan reporting and change management
Provides 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, including escalation of potential high-risk issues to senior management
Responsible for issue entry to Enterprise Issue Management system and oversight that corrective action has been taken and issues satisfactorily remediated
Qualification
Required
5+ years' experience in the financial services industry specifically in Compliance testing, Internal Audit or at a financial institutions regulator
Proficiency in compliance testing methodologies and/or audit experience
Proficiency in applicable FINRA, SEC, MSRB, FRBNY, CFPB and OCC rules and regulations in the area of coverage
Experience with operating in a highly matrixed environment with excellent communication and presentations skills
Excellent organizational, collaboration and team-building skills
Preferred
Familiarity with Capital Markets, Broker-Dealer and Volcker regulations
Ability to facilitate between and influence key decision makers
Strategic thinker with excellent interpersonal skills to work across functions and businesses
Benefits
Discretionary bonus
401(k) program with company-matching contributions
Health, dental, vision, life and disability insurance
Paid time-off plan
Company
RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance.
10001+ employees
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
2025 (29)
2024 (17)
2023 (3)
2022 (4)
2021 (1)
2020 (2)
Funding
Current Stage
Public CompanyTotal Funding
$16.3B2025-10-30Post Ipo Debt· $5B
2025-09-15Post Ipo Debt· $1.35B
2025-07-10Post Ipo Debt· $177.74M
Leadership Team
Graeme Hepworth
Chief Risk Officer
Kelly Bradley
Chief Human Resources Officer
Recent News
2026-01-22
Qatar Tribune
2026-01-21
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