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Associate, 15c3-3 Compliance Customer Protection

RRoyal Bank of Canada
Toronto, Canada,Royal Bank of Canada - Bedford,Royal Bank of Canada - VANCOUVER
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Description

This role is with the Customer Protection Control team, focusing on governance and oversight of projects and transactions impacting Possession and Control compliance (SEA Rule 15c3-3 & CIRO 4311) for U.S. and Canadian Broker Dealers. The associate will perform daily compliance monitoring, root cause analysis, enforce best practices, and generate risk exception reports. Key responsibilities also include periodic risk metrics reporting, project participation, assisting with regulatory and audit inquiries, and supporting user acceptance testing for compliance-related system enhancements.

What We're Looking For

Perform daily Possession and Control (15c3-3 and 4311) oversight and reporting functions, including root cause analysis and aging deficits,

File 15c3-3 extension requests with FINRA when required,

Ensure accurate record keeping of all departmental data, reports, and supporting documentation,

Prepare departmental metrics and daily/weekly/ad-hoc management reports,

Assist in fulfilling CP Related regulatory/audit inquiries/reviews,

Fulfill applicable Monthly FOCUS Reporting (US only) requirements,

Provide support for ongoing FINOP and FOCUS reporting related projects and issues,

Perform daily monitoring activities regarding assigned BPS user entry authorizations,

Perform Controls Testing for key FRR (Financial Responsibility Rules) controls within BCS,

Participate in project work and user acceptance testing for segregation-related system and workflow enhancements

Ideal Candidate

Bachelor's degree or equivalent, preferably with emphasis in Business, Accounting, Finance, or Economics, or strong extended experience in an equivalent role,

Ability to collaborate with team members to review businesses, products, and functional areas to identify key risks and synergy opportunities

Minimum Education

Bachelor's Degree

Hard Skills

US Capital Markets Broker/Dealer Operations
Canadian Broker Dealer Operations
Interpreting and analyzing BPS reports and tools (Stock Record, Pending Excess, Margin Trial Balance)
Comprehension of SEA Rule 15c-3 and CIRO 4311 (Possession and Control)
Microsoft Word
Microsoft Excel (Macro knowledge)
Microsoft PowerPoint
Microsoft Visio
FINOP reporting
FOCUS reporting

Soft Skills

Active Learning
Adaptability
Customer Service
Decision Making
Interpersonal Relationship Management
Operational Delivery
Process Improvements
Time Management
Collaboration

Work Hours

37.5 hours/week

Benefits

Comprehensive Total Rewards Program (bonuses, flexible benefits, competitive compensation)
Opportunities for continuous learning and professional development
Opportunities to build close relationships with coverage companies, investors, and internal Capital Markets stakeholders
Access to a variety of job opportunities across business and geographies

Also Available At

About the Company

R

Royal Bank of Canada

Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. As Canada's largest bank, it provides personal and commercial banking, wealth management, and capital markets services to over 17 million clients worldwide.

Purpose-driven
Inclusive
Innovative
Collaborative
Professional
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