Lead, Regulatory Compliance

4 weeks ago

Toronto, Ontario, Canada RBC Capital Markets, LLC Full time

Job Summary

We are seeking a highly skilled and experienced professional to join our team as a Senior Manager, Regulatory Reporting. This role will be responsible for leading the US Regulatory Services team in the Toronto office, ensuring all procedures are followed for assigned reports, and serving as a final reviewer for regulatory reporting submissions.

Key Responsibilities

  • Lead the US Regulatory Services team in the Toronto office, providing guidance and support to junior employees.
  • Develop and implement controls to ensure the timeliness, accuracy, and completeness of reporting, and resolve any exceptions identified.
  • Prioritize reporting anomaly issues, which may include requirement development.
  • Produce presentations for stakeholders highlighting achievements, reporting metrics, and other relevant material.
  • Assist with impact assessment of system/business changes.
  • Develop and harness ideas for continuous process improvement.
  • Document, revise, and maintain procedures as required; ensure team is trained on all procedures.

Requirements

  • 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.
  • Ability to maintain high standards despite pressing deadlines.
  • Ability to solve problems quickly and efficiently.
  • Demonstrated dependability and sense of urgency about getting results.
  • 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.

About Us

At RBC Capital Markets, LLC, 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.

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