Identify and resolve cash breaks through systematic investigation and root cause analysis. Proactively liaise with Front Office and Middle Office partners to resolve queries in a timely manner.
Assisting the Controller as required, and representing the Finance team as needed at month-end and other Management meetings and reviews. Overseeing satisfaction of all implications of Sarbanes-Oxley requirements and all SEC reporting.
Ensure all daily processing and settlement tasks for the team are completed in a timely and accurate manner, following established procedures and policies of RBC.
A proper tool / process to better track and monitor FO learnings from Intuition / Connect site / WorkDay learnings / external learnings / Onsite Compliance learnings / Cross border declarations etc.
Compliance Shared Services Malaysia team, including engagement, training and office presence. In conjunction with the Compliance COO, Europe and APAC, responsibility for supporting the development and execution of the Compliance strategy and framework for Malaysia, in alignment with group-wide policies.
Design, evaluate, oversee and assess new and existing compliance monitoring tasks which may include regular and ad hoc reviews, to ensure they meet current and new regulations.
Contribute towards the continual enhancement of the Testing approach and annual Testing program (including providing ideas for developing/improving the approach to continuous business Testing and, where relevant, enhancing the existing Enterprise Monitoring and Testing control standards)
Conduct comprehensive virtual inspections to detect instances of policy violations in a variety of areas, which include, but are not limited to, information barriers, off-channel communications, safeguarding of information, conflicts of interest, privacy incidents, recordkeeping, etc.
Role covers: > Corporate Actions Lifecycle Management from announcement through to Entitlement Processing. > Calculation of Unit Trust Distributions in line with Group 1 + Group 2 payment splitting. > Stock and Cash Reconciliation to monitor any outstanding ledger or statements entries.
Responsible for data integrity on any assigned accounts by ensuring the bank systems reflects all relevant ongoing changes with relevant support and approvals attached as necessary.