US Regulatory Services Analyst

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 following established procedures analyzing and implementing regulations and rules while remediating issues identified. This role will focus on multiple forms of regulatory reporting, such as Electronic Blue Sheets (EBS), CAT (Consolidated Audit Trail), CAIS (Customer and Account Reporting), SEC 13DG and H, LOPR, Short Interest, TRACE, MSRB, and more. The role may work 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?

Responsibilities:

• Responsible for following established guidelines to produce and/or validate for accuracy daily, weekly, or monthly regulatory reports including Electronic Blue Sheets (EBS), CAT (Consolidated Audit Trail), CAIS (Customer and Account Reporting), SEC 13DG and H, and more (and any other reports as determined by manager).

• Investigate and resolve exceptions through critical thinking and data analysis while escalating more complex scenarios to supervisors or other experts.

• Support the development and implementation of controls to ensure the timeliness, accuracy and completeness of reporting, and resolve any exceptions identified.

• Maintain a strong focus on streamlining processes by identifying and implementing automation opportunities.

• Document and revise procedures as assigned by manager.

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) preferred

• Understanding of the trade life cycle (Orders, Executions, Allocations) a plus

• Understanding of Middle Office Trade Processing 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, 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 applicable

• Leaders who support your development through coaching and managing opportunities

• Ability to make a difference and lasting impact

• Work in a dynamic, collaborative, progressive, and high-performing team

• Opportunities to do challenging work

• Opportunities to building close relationships with clients

The good-faith expected salary range for the above position is $70,000- $80,000 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

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Job Skills

Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.