Compliance Officer conducting onsite and remote branch examinations at Aviso Wealth. Join our dynamic team improving the financial well - being of Canadians through compliance oversight.
About the role
- Compliance Testing Officer responsible for independent compliance testing within RBC’s U.S. Compliance Testing Program. Supporting various stages of the testing lifecycle under direction of Sr. Testing Officer or Management.
Responsibilities
- Conduct testing across the CUSO/IHC, inclusive of transactional testing as well as controls to determine adherence to compliance requirements
- Perform research on regulatory requirements to ensure understanding of subject under review
- Support overall review by completing testing assignments on time and adhering to departmental procedures and templates
- Document testing outcomes, including high quality workpapers and documentation that support conclusions of testing
- Provide regular status updates pertaining to progress against assignments
- Communicate findings to Sr. Tester or Line of Business Partners
- Contribute to issue identification and overall review conclusions
- Responsible for escalating challenges with testing as well as the identification of higher risk issues
- Provides ideas for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Partners, and industry research
Requirements
- 1-4 years’ experience in the financial services industry in Compliance Testing, Controls Testing, Quality Assurance, Branch Inspection, Internal Audit or at a financial institutions regulatory agency
- Knowledge of compliance testing methodologies and/or audit experience
- Knowledge of FINRA, SEC, MSRB, FRBNY, CFPB and/or OCC rules and regulations
Benefits
- A comprehensive Total Rewards Program including bonuses and flexible benefits
- Competitive compensation
- Commissions and stock where applicable
- 401(k) program with company-matching contributions
- Health, dental, vision, life and disability insurance
- Paid time-off plan
Job title
Job type
Experience level
Salary
Degree requirement
No Education Requirement
Location requirements
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