Senior Analyst, 15c3-3 Compliance Customer Protection
Description
This role at RBC involves providing central governance and oversight for projects, change requests, and transactions impacting Possession and Control (SEA Rule 15c3-3 & CIRO 4300) compliance capabilities for U.S. and Canadian Broker Dealers. Key responsibilities include performing user acceptance testing for system and workflow changes, daily compliance monitoring, root cause analysis, enforcing best practices, and managing risk exception reporting. The position requires effective collaboration across multiple functional teams, business lines, infrastructure partners, and with senior stakeholders.
What We're Looking For
Perform user acceptance testing program of seg related system and workflow testing efforts, enforcing best practices testing protocol for each change (60%).,Perform daily Possession and Control (15c3-3 and 4300) oversight and reporting functions; including root cause analysis and aging deficits versus required thresholds, filing 15c3-3 extension requests with FINRA when required (20%).,Daily BAU (Business As Usual) tasks (20%).,Ensure accurate record keeping of all data, reports, and supporting documentation.,Prepare departmental metrics and daily/weekly/ad-hoc management reports.,Assist in the fulfillment of CP Related regulatory/audit inquiries/reviews.,Fulfill applicable Monthly FOCUS Reporting (US only) requirements.,Provide support to the team with respect to ongoing FINOP and FOCUS reporting related projects and issues.,Perform daily monitoring activities with respect to assigned BPS user entry authorizations.,Perform Controls Testing covering key FRR (Financial Responsibility Rules) controls within BCS.,Effectively collaborate across multiple functional teams, business lines, and infrastructure partners (technology, compliance, legal, finance) and directly with various senior stakeholders/team leads.
Ideal Candidate
Bachelor's degree or equivalent, preferably with emphasis in Business, Accounting, Finance, or Economics, or strong extended experience in an equivalent role.,7-10+ years' experience in US Capital Markets Broker/Dealer Operation and/or Canadian Broker Dealer.,Medium – Strong proficiency level interpreting and analyzing key BPS reports and tools: Stock Record, Pending Excess, Margin Trial Balance.,Medium – Strong level comprehension of SEA Rule 15c-3 and CIRO 4311 (Possession and Control).,Ability to collaborate with team members to review businesses, products, and functional areas to identify key risks and synergy opportunities.,Suggested: Medium to High proficiency level across Microsoft suite of products: Word, Excel (Macro knowledge), PowerPoint, Visio.
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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