Compliance Monitoring Program Analyst

RBC

Compliance Monitoring Program Analyst supporting RBC’s Combined US Operations in compliance governance routines and program enhancements. Collaborating with cross-functional teams and reporting to senior management on monitoring activities.

Posted 7/17/2026full-timeLos Angeles • California • 🇺🇸 United StatesMid-LevelSenior💰 $77,000 - $143,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in Compliance Monitoring, including the development and maintenance of standards and procedures, while effectively analyzing data to drive process improvements. Proficient in compliance testing and monitoring frameworks, with a strong understanding of U.S. Banking and broker-dealer regulations.

Highest-signal resume keywords

Compliance MonitoringQuality Assurance (QA) Program DesignU.S. Banking RegulationsData Analysis and PresentationCompliance Testing Frameworks

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance MonitoringQuality Assurance (QA)Compliance TestingMonitoring FrameworksData AnalysisProcess ImprovementDocumentation StandardsGovernance ActivitiesAd-Hoc Oversight ReviewsProgram Documentation

Soft Skills

CommunicationCollaborationAttention to DetailProblem-SolvingAdaptability

Tools & Technologies

Monitoring Governance ToolsData Presentation Tools

Industry Keywords

Financial ServicesComplianceLegal DepartmentRegulatory ComplianceBroker-Dealer RegulationsSECFINRAOCCMatrixed EnvironmentAudit Practices

About the role

Key responsibilities & impact

Support processes related to maintaining Compliance Monitoring inventories across various Compliance Oversight & Advisory Teams
Identify and support communication and training routines to promote quality and consistency across teams
Assist in developing and maintaining standards, internal procedures, and program documentation for CUSO-wide Compliance Monitoring
Support governance activities and initiatives to strengthen the Compliance Monitoring Program
Drive quality and consistency by providing input to QA program
Assist in collecting, analyzing, and preparing monitoring reports to Senior Management related to CUSO-wide Monitoring activities
Identify opportunities to enhance processes to ensure accurate and timely completion of program activities
Conduct ad-hoc oversight reviews to ensure timely, accurate documentation of monitoring activities
Serve as a subject matter expert for Monitoring governance tools and resources

Requirements

What you’ll need

5 - 7 years' experience in the financial services industry in Compliance, Legal Department or at a financial institutions regulator
Working experience within Compliance Testing, Monitoring, or Quality Assurance (QA) program design and execution
General understanding of U.S. Banking and broker-dealer regulations (e.g. SEC, FINRA, OCC, etc.)
Experience with compliance testing or monitoring frameworks or audit practices
Experience operating in a highly matrixed environment
Strong ability to work with data (including data presentation, trending, and analysis) and drive process improvements

Benefits

Comp & perks

Comprehensive Total Rewards Program including bonuses and flexible benefits
Competitive compensation
Commission 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
A world-class training program in financial services
Flexible work/life balance options
Opportunities to do challenging work