Senior Associate, US Regulatory Services

Royal Bank of Canada

  • Toronto, ON
  • Permanent
  • Full-time
  • 2 months ago
Job Summary Appuyer l’Audit, les Affaires contentieuses et les Affaires institutionnelles pour les documents relatifs à toutes les questions commerciales et réglementaires. S’appuyer sur son expérience et un ensemble éprouvé de pratiques, de connaissances et d’aptitudes pour réaliser différentes affectations.Job DescriptionWhat 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. This could include direct or indirect supervision of junior employees in a Manager or Team Lead capacity as well as direct “ownership” of functions. Functions within the team can include remediating issues identified; control and risk management and reporting process improvement; providing support for regulatory change initiatives; and researching and responding to regulatory inquiries and exams. Additionally, the individual will utilize subject matter expertise while representing the department or function at a broader level. Additional responsibilities may include performing user testing for existing process enhancements, documenting new procedures related to new reports on-boarded while acting as a go-to-person/escalation point for questions from junior analysts and other areas. This role may focus on multiple forms of regulatory reporting, such as CAT, CAIS, Electronic Blue Sheets, LOPR, Short Interest, SEC 13DGH, TRACE, MSRB, and more. The role works closely with several areas of the Firm to support the above functions, including various business groups within the Firm, Compliance, Legal, Finance, and Technology.What will you do?
  • Fully knowledgeable on the day-to-day reporting activities and ensures all procedures are followed for assigned reports (May include CAT, CAIS, SEC 13DGH, TRACE, EBS, LOPR or as assigned by manager)
  • As required, serves as a final reviewer for assigned regulatory reporting submissions
  • Acts 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 exceptions identified
  • Responsible for prioritization of reporting anomaly issues, which may include requirement development
  • May be responsible to produce presentations for a range of stakeholders highlighting achievements, reporting metrics, and other relevant material
  • May be responsible for assisting with impact assessment of system / business changes
  • Develops and harnesses ideas for continuous process improvement
  • Document, revise and maintain procedures as required; ensure team is trained on all procedures
  • May have management responsibilities for a small team or serve as a Functional SME
  • May be assigned to work on projects outside of responsibilities listed above
What do you need to succeed?Basic Qualifications
  • 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
  • Strong 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 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
  • Requires excellent interpersonal and communication skills
  • Ability to build strong working relationships with people at all organizational levels
  • Must have excellent judgment, professionalism and integrity
  • Team player with a positive attitude
What’s in it for you?We thrive on the challenge to be our best, think progressively, continue our growth, and deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our individual / collective potential, making a difference to our communities, and achieving success that is mutual.From this experience you will:
  • Gain a strong foundation in fundamental investment banking skills such as financial modeling and analysis, transaction execution and negotiation, and in-depth industry and product knowledge
  • Experience working in a dynamic, collaborative, progressive, and high-performing team
  • Interact with leaders who support your development through coaching and mentoring opportunities
  • Have the ability to make a difference through impactful transactions which help shape an industry
  • Develop an analytical skillset through real world transaction experience
  • Gain exposure and insight into the global capital markets
  • Work directly with senior levels of Canada’s largest and fastest growing companies
  • Build a long-term career in Investment Banking
Job Skills Audits Compliance, Critical Thinking, Detail-Oriented, Financial Reporting and Analysis, Industry Knowledge, Internal Controls, Knowledge OrganizationAdditional Job DetailsAddress: RBC CENTRE, 155 WELLINGTON ST W:TORONTOCity: TORONTOCountry: CanadaWork hours/week: 37.5Employment Type: Full timePlatform: CAPITAL MARKETSJob Type: RegularPay Type: SalariedPosted Date: 2025-07-04Application Deadline: 2025-07-18Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date aboveInclusion and Equal Opportunity EmploymentAt RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.Join our Talent CommunityStay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.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 .

Royal Bank of Canada