Associate Director
3 weeks ago
Job Summary
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. 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 Consolidated Audit Trail, Customer and Account Information System, Electronic Blue Sheets, Large Options Position Report, Short Interest, TRACE, MSRB, Qualified Financial Contract Recordkeeping, 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?
- Local manager of US Regulatory Services team resources in the Toronto office. Assist with day-to-day support of these resources, onboarding, and assisting with escalations of these team members where needed.
- Fully knowledgeable on the day to day reporting activities and ensures all procedures are followed for assigned reports
- This could include direct or indirect supervision of junior employees in a Manager or Team Lead capacity as well as direct "ownership" of functions
- 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 for the production of 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 you need to succeed?
- 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
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 #EVP3P3
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Group Problem Solving, Internal Controls, Organizational Governance, Quality Orientation, Time Management
Additional Job Details
Address: RBC CENTRE, 155 WELLINGTON ST W:TORONTO
City: TORONTO
Country: Canada
Work hours/week: 37.5
Employment Type: Full time
Platform: Capital Markets
Job Type: Regular
Pay Type: Salaried
Posted Date: 2024-02-01
Application Deadline: 2024-04-01
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. 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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