US Regulatory Services

2 weeks ago

Toronto, Ontario, Canada Royal Bank of Canada> Full time

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. This role will assist with the incoming SEC conformance regulatory reporting changes within US Reg Services in Toronto. This role may also focus on multiple forms of regulatory reporting, such as Customer and Account Reporting, Consolidated Audit Trail (CAT), Electronic Blue Sheets EBS, LOPR, Short Interest, TRACE, MSRB, and more. 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. This could include direct or indirect supervision of junior employees in a Manager or Team Lead capacity as well as direct "ownership" of functions. 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 SEC Conformance streams, CAT, CAIS, 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 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
  • Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment
  • High attention to detail and ability to maintain high standards despite pressing deadlines

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

Active Learning, Adaptability, Business Appraisals, Critical Thinking, Customer Service, Decision Making, Effectiveness Measurement, Operational Delivery, Process Improvements

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:

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.
​​​​​​​
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.

Join our Talent Community

Stay 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

  • Us Regulatory Reporting Lead

    2 weeks ago

    Toronto, Ontario, Canada Exadel open positions Full time

    Work at Exadel - Who We Are:Since 1998, Exadel has been engineering its own software products and custom software for clients of all sizes. Headquartered in Walnut Creek, California, Exadel currently has 2000+ employees in development centers across the Americas and Europe. Our people drive Exadel's success, and they are at the core of our values.The...

  • Director, US Technology Regulatory, PMO

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada> Full time

    Job SummaryManages day-to-day activities for large scale or complex application development projects. Manages activities through senior managers and managers and implements corporate and divisional strategic plans and budgets.Job DescriptionWhat is the opportunity?RBC US IT Regulatory PMO – GCS; is seeking a Project Director to manage US regulator projects...

  • Complaints & Client Services Associate

    2 weeks ago

    Toronto, Ontario, Canada Retirement Homes Regulatory Authority Full time

    Position: Associate, Complaints and Client Services Location: Toronto, ONStatus: Full-time, Permanent Salary: Base salary around $65,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario's more than 780 retirement...

  • Team Lead, Associate Director, US Regulatory Reporting

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada> Full time

    Job SummaryWhat 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 includes direct or...

  • Team Lead, Associate Director, US Regulatory Reporting

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryWhat 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 includes direct or...

  • Lead Regulatory Pricing and Strategy Con

    2 weeks ago

    Toronto, Ontario, Canada ALLIANT ENERGY CORPORATE SERVICES Full time

    ALLIANT ENERGY CORPORATE SERVICES Lead Regulatory Pricing and Strategy Con MADISON , Wisconsin Apply Now JOB REQUIREMENTS: Duties and Responsibilties of Job: Bring YOUR energyto Alliant Energy At Alliant Energy, our purpose is to serve customersand build stronger communities. We are passionate about powering beyondthe market challenges of today, while...

  • Director, Support Services

    2 weeks ago

    Toronto, Ontario, Canada Canadian Investment Regulatory Organization Full time

    Director, Member Services and Innovation Job Category : Full-Time Position Title: Director, Member Services and Innovation Department: Member Services and Innovation Permanent Full-time (Hybrid) Reporting to the VP, Member Services and Innovation, the Director, Member Services and Innovation is responsible for the development and execution of CIRO's...

  • Regulatory Developer

    2 weeks ago

    Toronto, Ontario, Canada Luxoft Full time

    Project descriptionThe Java Developer works under minimal supervision to design, test, and implement Java-based web applications, using industry standard software development practices, techniques, tools, and frameworks. The incumbent will be expected to design and develop complex business components in Java, deploying to Java EE Application...

  • Regulatory Developer

    4 weeks ago

    Toronto, Ontario, Canada Luxoft Full time

    Project descriptionThe Java Developer works under minimal supervision to design, test, and implement Java-based web applications, using industry standard software development practices, techniques, tools, and frameworks. The incumbent will be expected to design and develop complex business components in Java, deploying to Java EE Application...

  • Regulatory Compliance Quality Assurance Analyst

    2 weeks ago

    Toronto, Ontario, Canada DUCA Financial Services Credit Union Ltd. Full time

    Why DUCA?At DUCA, we strive for excellence in everything we do. Our commitment to _Do more, Be more, Achieve more_ is what sets us apart and drives our company culture. DUCA's impact goes beyond our financial solutions - we're dedicated to making a real difference in the lives of our members and in our community.We believe our employees are our most valuable...

  • Manager, Us Tax

    2 weeks ago

    Toronto, Ontario, Canada RSM US LLP Full time

    As a Tax Manager for RSM you will be responsible for the following job duties which are focused around three core concepts (Technical & Quality Expertise, People & Talent Management, and Client Service/Business Development):Have the ability to review complex 1120s, 1065s, 1120-F branch and treaty-based returns Have to ability to review SALT returns Handle...

  • Senior Regulatory Analyst

    2 weeks ago

    Toronto, Ontario, Canada XE Full time $80,000 - $100,000

    At Xe, we live currencies. We provide a comprehensive range of currency services and products, including our Currency Converter, Market Analysis, Currency Data API and quick, easy, secure Money Transfers for individuals and businesses. We leverage technology to deliver these services through our website, mobile app and by phone. Last year, we helped over...

  • Regulatory Program

    2 weeks ago

    Toronto, Ontario, Canada CNSCCCSN Full time

    What You Need to Note:The Directorate of Power Reactor Regulation (DPRR) is seeking talented and qualified individuals to strengthen our group of Regulatory Program Officers at the REG5 and REG6 level.The results of this process will be used to staff future positions with similar qualifications and various tenures including term, acting, assignment and...

  • Regulatory Business Analyst

    3 weeks ago

    Toronto, Ontario, Canada Luxoft Full time

    Project descriptionDXC Luxoft has one of the world's leading Murex practices. We are a top-tier Murex Alliance Partner and a market leader in implementation, integration, upgrade, and migration. We provide end-to-end project services and have delivered over 200 successful Murex projects across all major asset classes and sectors including investment banking,...

  • Senior Policy

    2 weeks ago

    Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full time

    Description : *This is a 12-month opportunity* OVERVIEW OF ROLE As a member of the Policy Team, you will provide expert technical and strategic advice and leadership in the development of solutions and recommendations on FSRA related financial services regulation in Ontario as they pertain to the overall policy direction and regulatory framework...

  • Senior Manager

    2 weeks ago

    Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full time

    Senior Manager, Complaints and Risk Assessment page is loaded Senior Manager, Complaints and Risk Assessment Apply locations Toronto, ON time type Full time posted on Posted 5 Days Ago job requisition id R001568 At FSRA, our vision is to ensure financial safety, fairness, and choice for Ontarians. As a financial services regulator, we're passionate about...

  • Senior Advisor, Credentialing Bodies

    2 weeks ago

    Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full time

    Description : PURPOSE OF POSITION Accountable for providing advisory services, conducting compliance reviews including analyses related to approval and supervision of Credentialing Bodies in connection with the Financial Planner / Financial Advisor Title Protection Act (FPFA), Insurance Act, and the Mortgage Brokers Lenders and Administrators Act...

  • Regulatory Associate

    2 weeks ago

    Toronto, Ontario, Canada Nuclear Waste Management Organization Full time

    LocationTorontoEmployment CategoryRegular Full-TimeDepartmentRegulatory ApprovalsClosing Date16/02/2024Job Reference10288The Nuclear Waste Management Organization (NWMO) is a not-for-profit organization tasked with the safe, long-term management of Canada's used nuclear fuel inside a deep geological repository, in a manner that protects people and the...

  • Director Regulatory Affairs

    2 weeks ago

    Toronto, Ontario, Canada Canadian Imperial Bank of Commerce Full time

    Director, Global Regulatory Affairs page is loaded Director, Global Regulatory Affairs Apply locations Toronto, ON time type Full time posted on Posted 2 Days Ago job requisition id We're building a relationship-oriented bank for the modern world. Global Regulatory Affairs (GRA) is CIBC's central point-of-contact with global prudential regulators. The...

  • Sr Regulatory Coordinator

    2 weeks ago

    Toronto, Ontario, Canada Hydro One Networks Inc Full time

    Toronto - Rotation - 24 months Hydro One is proud to be the largest electricity transmission and distribution provider in Ontario, serving nearly 1.4 million customers. We have a long history in the industry with our roots dating back over 110 years to 1906. Since then, we have worked to grow and evolve to meet the changing needs of our customers and...