Plans examiner serp_jobs.h1.location_city

Job Description

What is the opportunity?

The Branch Inspection Program is one pillar of the IMBD Central Compliance team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four broker-dealers within the RBC umbrella : RBC Capital Markets LLC (encompasses both retail and institutional businesses), RBC CMA Ltd., City National Securities, Inc., and CNR Securities, LLC (latter two herein, “CNB broker-dealers”). This team may also participate in special projects within the Central Compliance team and contribute to its overall reporting.

This is a remote opportunity open to hiring in Florida or surrounding states, or Colorado or surrounding states.

What will you do?

Branch Inspections :

• Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations across the Wealth Management and Capital Markets divisions of RBCCM, LLC and CNB broker-dealers. This includes traveling by air and / or car to certain locations sporadically throughout the month.
• Conduct virtual / on-site inspections to detect instances of policy violations in a variety of areas, which include, but are not limited to, information barriers, off-channel communications, safeguarding of information, conflicts of interest, privacy incidents, recordkeeping, etc.
• Lead 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. The final report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner.
• Contribute / generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.
• Responsible for training offshore examiners, and new examiners, on branch inspection policies, procedures, practices, and business lines across Wealth Management, Capital Markets, and CNB broker-dealers.
• Review work performed by offshore examiners, to verify accuracy and completion, and to assist in the planning of their on-site and virtual inspections.
• Lead and collaborate with Remote Examiners dispersed across various time zones to complete virtual inspections.

Central Compliance and FINRA Pilot Program Reporting

Special Projects :

What do you need to succeed?

Must-have

Nice-to-have

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.

For Colorado : The expected salary range for this particular position is $70,000-130,000 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 :

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address :

100 2ND AVENUE SOUTH, # 800 : ST. PETERSBURG

City : St. Petersburg

Country :

United States of America

Work hours / week : 40

Employment Type : Full time

Platform :

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type : Regular

Pay Type : Salaried

Posted Date : 2025-11-21

Application Deadline :

2025-12-31

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

I nclusion and Equal Opportunity Employment

At 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.

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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com .