US Regulatory Services – Senior Associate – Royal Bank of Canada

Title of the Job: US Regulatory Services – Senior Associate

Location: Toronto, ON

Job Description: Job SummaryJob DescriptionWhat is the opportunity?US Regulatory Services is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations and the SEC. This role will assist with the incoming SEC conformance regulatory reporting changes within US Reg Services in Toronto. This role may also focus on multiple forms of regulatory reporting, such as Customer and Account Reporting, Consolidated Audit Trail (CAT), Electronic Blue Sheets EBS, LOPR, Short Interest, TRACE, MSRB, and more. 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. This could include direct or indirect supervision of junior employees in a Manager or Team Lead capacity as well as direct “ownership” of functions. 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?

• Fully knowledgeable on the day to day reporting activities and ensures all procedures are followed for assigned reports (May include SEC Conformance streams, CAT, CAIS, TRACE, EBS, LOPR or as assigned by manager)*
• As required, serves 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*
• Responsible for prioritization of reporting anomaly issues, which 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 with impact assessment of system / business changes
• Develops and harnesses ideas for continuous process improvement
• Document, revise and maintain procedures as required; ensure team is trained on all procedures
• May have management responsibilities for a small team or serve as a Functional SME
• May be assigned to work on projects outside of responsibilities listed above

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)
• Strong understanding of the trade life cycle (Orders, Executions, Allocations) is required
• Some understanding of Middle Office Trade Processing is required
• Some experience in Front Office / Middle Office trade processing is a plus
• Management experience is a plus
• 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
• High attention to detail and ability to maintain high standards despite pressing deadlines

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 Active Learning, Adaptability, Business Appraisals, Critical Thinking, Customer Service, Decision Making, Effectiveness Measurement, Operational Delivery, Process ImprovementsAdditional Job DetailsAddress: RBC CENTRE, 155 WELLINGTON ST W:TORONTOCity: TORONTOCountry: CanadaWork hours/week: 37.5Employment Type: Full timePlatform: CAPITAL MARKETSJob Type: RegularPay Type: SalariedPosted Date: 2024-06-12Application Deadline: 2024-10-21Inclusion and Equal Opportunity EmploymentAt 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.Join our Talent CommunityStay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.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 .

Company Name: Royal Bank of Canada

Salary:

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