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 focusing on day-to-day deliverables related to analyzing and implementing regulations and rules while remediating issues identified. The individual will continue to build upon their subject matter expertise in performing daily functions while potentially representing the department or function at a broader level. Individuals would additionally be expected to contribute to control and risk management and recommending reporting process improvements. Additional responsibilities may include assisting user testing for process enhancements, documenting procedures independently, and acting as a go-to-person for questions from other junior analysts and other areas. 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 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?

• Responsible for following established guidelines to produce and/or validate for accuracy daily, weekly, or monthly regulatory reports including: Electronic Blue Sheets, OATS, LOPR, Short Interest, TRACE, MSRB, CAT (and any other reports as determined by manager)
• Investigate and resolve exceptions through critical thinking and data analysis while acting as an escalation point for junior analysts*
• Support 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 material
• Maintain a strong focus on streamlining processes by identifying and implementing automation
• Document and revise procedures as assigned
• May supervise day-to-day work of junior level employees while providing cover for Team Manager during absence

What 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) preferred
• 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
• Leaders who support your development through coaching and managing opportunities
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to do challenging work
• Flexible work/life balance options

Job Skills

Auditing, Audits Compliance, Communication, Data Gathering Analysis, Detail-Oriented, Financial Regulation, Internal Controls, Organizational Governance, Process Management, Quality Orientation

Additional Job Details

RBC CENTRE, 155 WELLINGTON ST W:TORONTOTORONTOCanada37.5Full timeCAPITAL MARKETSRegularSalaried2025-04-152025-04-25

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

Inclusion and Equal Opportunity Employment

At 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.