RBC · 3 days ago
Senior Compliance Analyst
Jersey City, NJ
Full-time
Onsite
Mid, Senior Level
$80K/yr - $135K/yr
5+ years exp
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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
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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
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
2023 (3)
2022 (3)
2021 (3)
2020 (2)
Funding
Current Stage
Public CompanyTotal Funding
$5.54B2024-11-01Post Ipo Debt· $644.82M
2024-09-23Post Ipo Debt· $799.2M
2024-07-02Post Ipo Debt· $1.07B
Leadership Team
Katherine Gibson
CFO
Recent News
2024-12-24
Seeking Alpha
2024-12-24
Company data provided by crunchbase
