• Job Description

  Req#: R-0000096422

  Job Summary

  Job Description

  What is the opportunity?

  US Regulatory Services is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations and the SEC. The individual in this role is primarily responsible for day-to-day operational execution to broader planning within the area of expertise. This could include direct or indirect supervision of junior employees in a Manager or Team Lead capacity as well as direct “ownership” of functions. Functions within the team can include remediating issues identified; control and risk management and reporting process improvement; providing support for regulatory change initiatives; and researching and responding to regulatory inquiries and exams. Additionally, the individual will utilize subject matter expertise while representing the department or function at a broader level. Additional responsibilities may include performing user testing for existing process enhancements, documenting new procedures related to new reports on-boarded while acting as a go-to-person/escalation point for questions from junior analysts and other areas. This role may focus on multiple forms of regulatory reporting, such as Electronic Blue Sheets, OATS, LOPR, Short Interest, TRACE, MSRB, CAT and more. The role works closely with several areas of the Firm to support the above functions, including various business groups within the Firm, Compliance, Legal, Finance, and Technology.

  What will you do?

  • Knowledgeable on the day to day reporting activities and ensures all procedures are followed for assigned reports (May include CAT, OATS, TRACE, EBS, LOPR or as assigned by manager)
  • As required, may serve as a final reviewer for assigned regulatory reporting submissions
  • Acts as an effective layer of escalation for junior or less experienced staff on complex issues
  • Support the development and implementation of controls to ensure the timeliness, accuracy and completeness of reporting, and resolve any exceptions identified*
  • May be responsible for the prioritization of reporting anomalies, may include requirement development
  • May be responsible for the production of presentations for a range of stakeholders highlighting achievements, reporting metrics, and other relevant material
  • May be responsible for assisting in the completion of impact assessment of system / business changes
  • Develops and harnesses ideas for continuous process improvement
  • Document, revise and maintain procedures as required
  • May have management responsibilities for a small team or serve as a Functional SME

  What you need to succeed?

  • Bachelor’s Degree or Equivalent Required, preferably in Engineering or Business or a related subject
  • Understanding of financial products (Equities, Listed Derivatives, Fixed Income, and/or OTC Derivatives)
  • Understanding of the trade life cycle (Orders, Executions, Allocations) is required
  • Some understanding of Middle Office Trade Processing is required
  • Excellent interpersonal and communication skills
  • Strong proficiency in MS Word, Excel (inclusive of Pivot Tables and VLOOKUPs), PowerPoint, and Outlook
  • Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment

  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
  • Leaders who support your development through coaching and managing opportunities
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • Opportunities to do challenging work
  • Flexible work/life balance options

  Job Skills

  Audits Compliance, Communication, Critical Thinking, Data Gathering Analysis, Financial Regulation, Internal Controls, Organizational Governance, Quality Orientation, Time Management

  Additional Job Details

  Address:

  RBC CENTRE, 155 WELLINGTON ST W:TORONTO

  City:

  TORONTO

  Country:

  Canada

  Work hours/week:

  37.5

  Employment Type:

  Full time

  Platform:

  CAPITAL MARKETS

  Job Type:

  Regular

  Pay Type:

  Salaried

  Posted Date:

  2024-08-13

  Application Deadline:

  2024-08-28

  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.

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  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.

• About the company

  Royal Bank of Canada (RBC), is a diversified financial services company. The Company provides personal and commercial banking, wealth management services, insurance, investor services and capital markets products and services on a global basis. The Com...

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