Remote Branch Examiner
RBC — PERSIARAN IRC 2, IOI RESORT CITY IOI CITY TOWER ONE:PUTRAJAYA
Posted 2026-08-28
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. Working hours: 3 Weeks - APAC Time - 9.00AM -6.00PM 1 Week - US Time- 9.00PM -6.00AM What will you do? Branch Inspections: The Remote Branch Examiner is expected to complete numerous virtual inspections per year of various Firm locations across the Wealth Management and Capital Markets divisions of RBCCM, LLC and CNB broker-dealers. Conduct comprehensive virtual inspections to detect instances of policy violations in a variety of areas, which include, but are not limited to, information barriers, off-channel comm