Associate, US Regulatory Services
Description
This opportunity involves working within US Regulatory Services, which is responsible for accurate and timely reporting to various exchanges, self-regulatory organizations, and the SEC. The role focuses on day-to-day operational execution and broader planning, potentially including supervision of junior employees or direct ownership of functions. Key responsibilities include issue remediation, control and risk management, process improvement, supporting regulatory change initiatives, and responding to inquiries and exams. The individual will also utilize their subject matter expertise at a broader departmental level. The role may involve user testing, documenting new procedures, and acting as an escalation point for junior analysts. This position may cover multiple forms of regulatory reporting such as CAT, CAIS, Electronic Blue Sheets, LOPR, Short Interest, SEC 13DGH, TRACE, and MSRB, working closely with various internal groups including business units, Compliance, Legal, Finance, and Technology.
What We're Looking For
Be knowledgeable on day-to-day reporting activities and ensure all procedures are followed for assigned reports (e.g., CAT, CAIS, SEC 13DGH, TRACE, EBS, LOPR).,Serve as a final reviewer for assigned regulatory reporting submissions as required.,Act 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 identified exceptions.,May be responsible for prioritizing reporting anomalies and developing requirements.,May be responsible for producing presentations for various stakeholders highlighting achievements, reporting metrics, and other relevant material.,May be responsible for assisting in the completion of impact assessment of system/business changes.,Develop and harness 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.
Ideal Candidate
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.,Ability to work well under pressure, adapt to unexpected events, prioritize, and multi-task in a deadline-driven environment.,High attention to detail.,Ability to maintain high standards despite pressing deadlines.,Ability to solve problems quickly and efficiently.,Demonstrated dependability and sense of urgency about getting results.,Excellent interpersonal and communication skills.,Ability to build strong working relationships with people at all organizational levels.,Excellent judgment, professionalism, and integrity.,Team player with a positive attitude.
Minimum Education
Bachelor's Degree
Hard Skills
Soft Skills
Work Hours
40 hours/week
Benefits
About the Company
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.
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