Job Description
Job Summary
Job Description
What is the Opportunity?
Execution of Compliance Quality Assurance activities in accordance with the 2LOD Compliance Quality Assurance Program. The Quality Assurance team is responsible for monitoring and testing of compliance activities performed by the First and Second Lines of Defence, reviewing the design and implementation of policies, procedures, and controls to address regulatory expectations with respect to issue remediation and effectively challenge remediation efforts to ensure that such efforts are well designed, effective and sustainable. Additionally, the Quality Assurance team performs target/project-based reviews to address specific processes, programs and methodologies performed by the Compliance Practices Group (CPG) (i.e., compliance risk assessment, issues management, regulatory change, management reporting etc.)
What will you do?
• Lead and conduct assigned quality assurance reviews executed across the RBC Combined U.S. Operations (CUSO)/RBC U.S. Groups Holdings (IHC) to ensure timely completion and adequate execution in accordance with the governing documents and adherence to regulatory requirements.
• Analyze data, assess and challenge applicable policies, procedures and implemented compliance controls to ensure implementation and sustainability meets regulatory expectations, including consumer harm.
• Responsible for assessing issues and advising on ratings, root causes, etc.
• Assist with the reporting of the status of reviews in support of QA Plan Governance, including progress to plan reporting and change management.
• Assist in the development of standard QA plan development, QA program templates, reports and enhancement of the program.
• Responsible for escalating high risk issues found to senior management.
• Responsible for clear and concise documentation of QA activities performed and drafting reports outlining the result of those activities.
• Assist in the completion of ad hoc activities to support the Compliance Practices Group goals and initiatives.
What do you need to succeed?
• 5 - 7 years’ experience in the financial services industry in Compliance testing, quality assurance, quality control, project management, branch inspection, Internal Audit or at a financial institutions regulator.
• Deep knowledge of compliance quality assurance, compliance testing methodologies and/or audit experience.
• Proficient in Excel, Word and PowerPoint.
• Familiarity with FINRA, SEC, MSRB, FRBNY and OCC rules and regulations.
Nice-to-Have
• Experience with operating in a highly matrixed environment.
• Strong communication and presentations skills.
• Excellent organizational skills.
• Excellent collaboration skills.
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.
• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities
• Access to a variety of job opportunities across business
The good-faith expected salary range for the above position is $80,000-$135,000 USD depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements that comprise our total compensation package, which includes the following: commission sharing eligibility for select roles, a discretionary bonus, a paid time-off plan, our 401(k) program with company-matching contributions, and our health, dental, vision, life and disability insurance.
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:
· Drives RBC’s high performance culture
· Enables collective achievement of our strategic goals
· Generates sustainable shareholder returns and above market shareholder value
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Documentations, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Project Management, Quality Assurance (QA), Regulatory Compliance, Risk Management, Strategic Thinking
Additional Job Details
Address:
GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY
City:
Jersey City
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:
2026-12-23
Application Deadline:
2026-01-31
Note: Applications will be accepted until 11:5+ PM on the day prior to the application deadline date above
Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
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.
Job Description
What is the Opportunity?
Execution of Compliance Quality Assurance activities in accordance with the 2LOD Compliance Quality Assurance Program. The Quality Assurance team is responsible for monitoring and testing of compliance activities performed by the First and Second Lines of Defence, reviewing the design and implementation of policies, procedures, and controls to address regulatory expectations with respect to issue remediation and effectively challenge remediation efforts to ensure that such efforts are well designed, effective and sustainable. Additionally, the Quality Assurance team performs target/project-based reviews to address specific processes, programs and methodologies performed by the Compliance Practices Group (CPG) (i.e., compliance risk assessment, issues management, regulatory change, management reporting etc.)
What will you do?
• Lead and conduct assigned quality assurance reviews executed across the RBC Combined U.S. Operations (CUSO)/RBC U.S. Groups Holdings (IHC) to ensure timely completion and adequate execution in accordance with the governing documents and adherence to regulatory requirements.
• Analyze data, assess and challenge applicable policies, procedures and implemented compliance controls to ensure implementation and sustainability meets regulatory expectations, including consumer harm.
• Responsible for assessing issues and advising on ratings, root causes, etc.
• Assist with the reporting of the status of reviews in support of QA Plan Governance, including progress to plan reporting and change management.
• Assist in the development of standard QA plan development, QA program templates, reports and enhancement of the program.
• Responsible for escalating high risk issues found to senior management.
• Responsible for clear and concise documentation of QA activities performed and drafting reports outlining the result of those activities.
• Assist in the completion of ad hoc activities to support the Compliance Practices Group goals and initiatives.
What do you need to succeed?
• 5 - 7 years’ experience in the financial services industry in Compliance testing, quality assurance, quality control, project management, branch inspection, Internal Audit or at a financial institutions regulator.
• Deep knowledge of compliance quality assurance, compliance testing methodologies and/or audit experience.
• Proficient in Excel, Word and PowerPoint.
• Familiarity with FINRA, SEC, MSRB, FRBNY and OCC rules and regulations.
Nice-to-Have
• Experience with operating in a highly matrixed environment.
• Strong communication and presentations skills.
• Excellent organizational skills.
• Excellent collaboration skills.
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.
• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities
• Access to a variety of job opportunities across business
The good-faith expected salary range for the above position is $80,000-$135,000 USD depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements that comprise our total compensation package, which includes the following: commission sharing eligibility for select roles, a discretionary bonus, a paid time-off plan, our 401(k) program with company-matching contributions, and our health, dental, vision, life and disability insurance.
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:
· Drives RBC’s high performance culture
· Enables collective achievement of our strategic goals
· Generates sustainable shareholder returns and above market shareholder value
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Documentations, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Project Management, Quality Assurance (QA), Regulatory Compliance, Risk Management, Strategic Thinking
Additional Job Details
Address:
GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY
City:
Jersey City
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:
2026-12-23
Application Deadline:
2026-01-31
Note: Applications will be accepted until 11:5+ PM on the day prior to the application deadline date above
Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
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.
💡 Quick Summary
Seeking a career-building opportunity? The Senior Compliance Analyst position is now open for candidates interested in the Remote Jobs sector. This role in Jersey City offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Remote Jobs is a plus.
