Branch Inspection Program Examiner

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. This team may also participate in special projects within the Central Compliance team and contribute to its overall reporting. 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. Conduct virtual/on-site inspections to detect instances of policy violations in a variety of areas, escalate any areas where concerns were noted. Contribute/generate ideas for enhancements to the Program. Responsible for training offshore examiners, and new examiners, on branch inspection policies, procedures, practices, and business lines. Assist in the maintenance of required periodic risk assessment outputs. Participate in the 2025 internal build of the new registrations surveillance system. Willing to assist with special projects as they arise.