Job Summary

US Regulatory Services is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations and the SEC. The individual in this role is primarily responsible for day-to-day operational execution to broader planning within the area of expertise.

Job Description

What is the Opportunity?

US Regulatory Services is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations and the SEC. The individual in this role is primarily responsible for day-to-day operational execution to broader planning within the area of expertise.

What will you do?

Responsible for following established guidelines to produce and/or validate for accuracy daily, weekly, or monthly regulatory reports including: Form 13H, Section 13DG, Electronic Blue Sheets, , LOPR, Short Interest, TRACE, MSRB, CAT (and any other reports as determined by manager)*Investigate and resolve exceptions through critical thinking and data analysisSupport the development and implementation of controls to ensure the timeliness, accuracy and completeness of reporting, and resolve any exceptions identified*Assist with coordinating the remediation of reporting anomalies (raise JIRAs, document requirements, and perform checkout etc.)May assist with the production of presentations for a range of stakeholders highlighting achievements, reporting metrics, and other relevant materialMaintain a strong focus on streamlining processes by identifying and implementing automationDocument and revise procedures as assigned

What do you need to succeed?

Bachelor’s Degree or Equivalent Required, preferably in Engineering or Business or a related subjectRelevant experience of 3 to 5 years with a good understanding of financial products (Equities, Listed Derivatives, Fixed Income, and/or OTC Derivatives)Understanding of the trade life cycle (Orders, Executions, Allocations) is requiredSome understanding of Middle Office Trade Processing is requiredManagement experience is a plusStrong proficiency in MS Word, Excel (inclusive of Pivot Tables and VLOOKUPs), PowerPoint, and Outlook

Other Required Qualifications:

Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment  High attention to detailAbility to maintain high standards despite pressing deadlinesAbility to solve problems quickly and efficientlyDemonstrated dependability and sense of urgency about getting resultsRequires excellent interpersonal and communication skills Ability to build strong working relationships with people at all organizational levelsMust have excellent judgment, professionalism and integrityTeam player with a positive attitudeAbility to work from office for at least 3 days per week

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, commissions, and stock where applicableLeaders who support your development through coaching and managing opportunitiesAbility to make a difference and lasting impactWork in a dynamic, collaborative, progressive, and high-performing teamOpportunities to do challenging workOpportunities to building close relationships with clients

The good-faith expected salary range for the above position is $75,000 - $85,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs.  This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

·       Drives RBC’s high performance culture

·       Enables collective achievement of our strategic goals

·       Generates sustainable shareholder returns and above market shareholder value

#LI-DM1

Job Skills

Audits Compliance, Critical Thinking, Detail-Oriented, Financial Reporting and Analysis, Industry Knowledge, Internal Controls, Knowledge Organization

Additional Job Details

Address:

GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY

City:

Jersey City

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

CAPITAL MARKETS

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-09-11

Application Deadline:

Inclusion and Equal Opportunity Employment

At 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.
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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.

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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 jobs.rbc.com.