Description
This Senior Analyst position on the Customer Protection Team at Royal Bank of Canada (RBC) focuses on ensuring compliance with Possession and Control (SEA Rule 15c3-3 & CIRO 4300) regulations for the U.S. and Canadian Broker Dealers. The role involves central governance and oversight of projects, change requests, and transactions impacting compliance capabilities. Key responsibilities include performing user acceptance testing for system and workflow changes, daily compliance monitoring, root cause analysis, enforcing best practices, and reporting on risk exceptions and operational performance. The analyst will also collaborate with various functional teams, business lines, infrastructure partners, and senior stakeholders.
What We're Looking For
Provide central governance and oversight of projects, change requests, and transactions impacting Possession and Control compliance.,Perform user acceptance testing (UAT) for segregation-related system and workflow changes, enforcing best practices.,Conduct daily Compliance monitoring functions, root cause analysis, and manage reporting of risk exceptions/operational performance.,Ensure accurate record-keeping of all 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 requirements (US only).,Provide support for ongoing FINOP and FOCUS reporting projects and issues.,Perform daily monitoring activities regarding assigned BPS user entry authorizations.,Perform Controls Testing covering key FRR (Financial Responsibility Rules) controls within BCS.,Collaborate effectively across multiple functional teams, business lines, and infrastructure partners (technology, compliance, legal, finance) and with senior stakeholders.
Ideal Candidate
Bachelor's degree or equivalent, preferably with an 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 Operations 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 comprehension level 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.
Minimum Education
Bachelor's Degree
Hard Skills
Soft Skills
Work Hours
37.5 hours/week
Benefits
Also Available At
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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