Front Office Controls Analyst

5 days ago


Kuala Lumpur, Kuala Lumpur, Malaysia RBC Full time

We are looking for a highly skilled Front Office Controls Analyst to join our team at RBC. The successful candidate will have a strong background in risk management and a proven track record of identifying and mitigating risks in a financial institution.

As a Front Office Controls Analyst, you will be responsible for acting as a Subject Matter Expert on front office key controls, product due diligence, product risk rating, best executions, suitability, cross border rules, and other control reviews.

Key responsibilities include performing reviews and assessments on the effectiveness and adequacy of the controls, escalating non-compliance findings to stakeholders and following up on remediation to ensure proper closure, before issuing management reports.

The role also involves assessing feasibility and implementation implications for new controls, processes, and products, maintaining updated business risk management procedures and processes, as well as promoting risk culture by providing advisory and training to Front Office on key controls.

Key Requirements

  • Minimum 5 years' experience in a financial institution preferably Wealth Management, risk management or internal audit.
  • Strong knowledge in Private Banking products including product due diligence and regulatory requirements.
  • Prior experience in automating process / performing surveillance on investment suitability / fraud related areas or in compliance / audit function an advantage.
  • Proficient in using Microsoft applications (Excel, Word, Outlook, etc.) and programming.
  • Strong verbal, written and interpersonal communication skills.
  • Demonstrated attention to detail coupled with strong analytical skills and sensible problem solving.


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