Compliance Monitoring Jobs (NOW HIRING)

WHAT IS THE OPPORTUNITY?

As a Compliance Monitoring Program Analyst, you will play a pivotal role in supporting the Compliance Monitoring Program for RBC's Combined US. Operations (CUSO). The primary focus of this role will be to drive governance routines, support initiatives to enhance the Compliance Monitoring Program, and support business partners with understanding requirements of the program.
This role requires regular interaction with senior leadership and cross-functional teams responsible for executing compliance monitoring activities for the purpose of providing guidance on program requirements and expectations and promoting successful adoption of the program. The Compliance Monitoring Program Analyst may also interface with other members of Compliance Practices & Assurance to ensure connectivity where monitoring inputs and outputs may impact other compliance risk management framework elements, requiring clear communication and stakeholder management.

Key focus areas:

• Governance and program enhancement

• Inventory and change management

• Quality assurance and reporting

• Cross-functional collaboration and training support

WHAT WILL YOU DO?

• Support processes related to maintaining Compliance Monitoring inventories across various Compliance Oversight & Advisory Teams, including an annual refresh and change management processes

• Identify and support communication and training routines to promote quality and consistency across teams

• Assist in developing and maintaining standards, internal procedures, and program documentation for CUSO-wide Compliance Monitoring.

• Support governance activities and initiatives to strengthen the Compliance Monitoring Program, including efforts to align the CUSO-wide Monitoring Program with RCM programs, including Compliance Testing and Risk Assessment teams, as appropriate

• Drive quality and consistency by providing input to QA program, reviewing QA results, governance activity outcomes, and delivering timely feedback and training to monitoring teams

• Assist in collecting, analyzing, and preparing monitoring reports to Senior Management related to CUSO-wide Monitoring activities, detailing progress, exceptions, and insights

• Identify opportunities to enhance processes to ensure accurate and timely completion of program activities and provide enhancement recommendations for continuous improvement and efficiency of the CUSO-wide compliance monitoring

• Conduct ad-hoc (spot-checks) oversight reviews to ensure timely, accurate documentation of monitoring activities in CALMA, including conclusions and findings

• Serve as a subject matter expert for Monitoring governance tools and resources, providing guidance to COATs on governance and oversight activities

• Maintain accurate records of governance and oversight activities, including Risk and Control Registers within ORMS for Monitoring activities and change management log

WHAT DO YOU NEED TO SUCCEED?

Must have:

• 5 - 7 years' experience in the financial services industry in Compliance, Legal Department or at a financial institutions regulator

• Working experience within Compliance Testing, Monitoring, or Quality Assurance (QA) program design and execution

• General understanding of U.S. Banking and broker-dealer regulations (e.g. SEC, FINRA, OCC, etc.)

• Experience with compliance testing or monitoring frameworks or audit practices

• Experience operating in a highly matrixed environment

• Strong ability to work with data (including data presentation, trending, and analysis) and drive process improvements

Nice-to-have:

• Advanced data analytics skills, including use of Artificial Intelligence

• Project management experience

• Audit background with regulatory focus

• Experienced in interacting with audit and regulators

WHAT'S IN IT FOR YOU?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable

• Leaders who support your development through coaching and managing opportunities

• Ability to make a difference and lasting impact

• Work in a dynamic, collaborative, progressive, and high-performing team

• A world-class training program in financial services

• Flexible work/life balance options

• Opportunities to do challenging work

The expected salary range for this particular position is $77,000 - $143,000 depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC's high-performance culture

• Enables collective achievement of our strategic goals

• Generates sustainable shareholder returns and above market shareholder value

Job Skills

Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.