RBC · 9 hours ago
Senior Compliance Assurance Analyst - Testing
Jersey City, NJ
Full-time
Onsite
Mid, Senior Level
$85K/yr - $145K/yr
5+ years expRBC is a leading financial institution, and they are seeking a Senior Compliance Assurance Analyst to execute Compliance Quality Assurance activities. The role involves leading quality assurance reviews, analyzing compliance controls, and assisting in the development of QA programs to ensure adherence to regulatory requirements.
BankingFinancial ServicesWealth Management
Responsibilities
Lead and conduct assigned quality assurance reviews executed across the RBC Combined U.S. Operations (CUSO)/RBC U.S. Groups Holdings (IHC) to ensure timely completion and adequate execution in accordance with the governing documents and adherence to regulatory requirements
Analyze data, assess and challenge applicable policies, procedures and implemented compliance controls to ensure implementation and sustainability meets regulatory expectations, including consumer harm
Responsible for assessing issues and advising on ratings, root causes, etc
Assist with the reporting of the status of reviews in support of QA Plan Governance, including progress to plan reporting and change management
Assist in the development of standard QA plan development, QA program templates, reports and enhancement of the program
Responsible for escalating high risk issues found to senior management
Responsible for clear and concise documentation of QA activities performed and drafting reports outlining the result of those activities
Assist in the completion of ad hoc activities to support the Compliance Practices Group goals and initiatives
Qualification
Required
5 - 7 years' experience in the financial services industry in Compliance testing, quality assurance, quality control, project management, branch inspection, Internal Audit or at a financial institutions regulator
Deep knowledge of compliance quality assurance, compliance testing methodologies and/or audit experience
Proficient in Excel, Word and PowerPoint
Familiarity with FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
Preferred
Experience with operating in a highly matrixed environment
Strong communication and presentations skills
Excellent organizational skills
Excellent collaboration skills
Benefits
A comprehensive Total Rewards Program including bonuses and flexible benefits
Competitive compensation
Commissions, and stock where applicable
Commission sharing eligibility for select roles
A discretionary bonus
A paid time-off plan
Our 401(k) program with company-matching contributions
Health, dental, vision, life and disability insurance
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
2026-01-17
Company data provided by crunchbase