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The Sr. Compliance Tester leads and conducts independent compliance reviews for the U.S. Compliance Testing Program, a critical program element of the U.S. Regulatory Compliance Management framework for RBC’s CUSO/IHC.

Requirements

• Demonstrated experience evaluating compliance with enterprise-wide prudential regulations that span across the entity, such as Reg P, Reg O and Reg W.
• 5+ years of experience in Banking Compliance Testing, Internal Audit, or an examiner at a financial institution’s regulatory agency.
• Proven experience in compliance testing methodologies and/or audit experience.

Responsibilities

• Conduct testing across the CUSO/IHC, inclusive of the testing of controls and adherence to regulatory requirements that apply enterprise-wide across RBC’s CUSO, including Reg O, Reg W, Reg P, etc.
• Perform research on regulatory requirements and business controls to determine optimal approach to testing while employing a risk-based approach
• Lead reviews and guide other testers, but may also assist other team members with completing reviews and/or portions of testing
• Document conclusions of testing, including detailed workpapers as well as written reports documenting conclusions and findings
• Assist with the reporting of the status of reviews in support of Test Plan Governance, including progress to plan reporting and change management
• Provide ideas for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Partners, and industry research
• Responsible for assessing issues and advising on ratings, root causes, etc., and effectively communicating to Line of Business and compliance partners to obtain agreement

Other

• Experience operating in a highly matrixed environment.
• Excellent communication and presentations skills.
• Excellent organizational skills.
• Excellent collaboration and team-building skills.