Senior Branch Examiner

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.

• 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 elevate 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.

• Contribute content updates to branch questionnaires and inspection review scripts for the on‑site and virtual programs and action the updates where necessary.
• Assist in the maintenance of required periodic risk assessment outputs to determine if a location (brick‑and‑mortar, non‑registered location, secondary residence, and RSL) is eligible for a remote, on‑site, and/or unannounced inspection.
• Organize risk assessment inputs from various stakeholders (i.e., Securities Registration team, Employees Disclosures Group, Compliance Advisory teams, and 1
  
  LOD stakeholders) and apply the utilization of such to models as directed.
• Participate in the 2025 internal build of the new registrations surveillance system to ensure branch team attributes are incorporated, which will assist with future inspection tracking and reporting.
• Assists in the development of IMBD Central Compliance reporting to demonstrate branch inspection progress, findings, relevant Securities Registrations and Insurance metrics, and trend analyses to be shared with senior stakeholders.

• Willing to assist with special projects as they arise. Examples include, but are not limited to, relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc.

• Bachelor's Degree
• 5‑7 or more years of experience in banking compliance
• Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations
• Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S‑registered broker‑dealer.
• Experience in roles in any of the…