US Regulatory Reporting Specialist

3 weeks ago

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

Position Overview

What is the opportunity?

The US Regulatory Services team plays a crucial role in ensuring accurate and timely submissions to various regulatory bodies, including exchanges and the SEC. This position is integral to the daily operational activities and strategic planning within the regulatory domain. The selected candidate will oversee junior staff in a managerial capacity and take ownership of specific functions. Responsibilities may include addressing identified issues, managing controls and risks, enhancing reporting processes, supporting regulatory changes, and responding to inquiries and examinations. The role also involves user testing for process improvements and documenting new procedures for on-boarded reports, serving as a key resource for junior analysts and other departments. The focus will encompass various regulatory reports such as Electronic Blue Sheets, OATS, LOPR, Short Interest, TRACE, MSRB, CAT, among others. Collaboration with multiple departments, including Compliance, Legal, Finance, and Technology, is essential to fulfill these responsibilities.

Key Responsibilities

  • Maintain comprehensive knowledge of daily reporting tasks, ensuring adherence to established procedures for assigned reports.
  • Act as a final reviewer for regulatory submissions as needed.
  • Provide guidance and support to junior staff on complex issues.
  • Assist in developing and implementing controls to guarantee the accuracy and completeness of reporting, addressing any discrepancies.
  • Prioritize reporting anomalies and assist in requirements development.
  • Prepare presentations for stakeholders that highlight achievements and relevant metrics.
  • Contribute to impact assessments related to system or business changes.
  • Foster continuous process improvement initiatives.
  • Document and update procedures as necessary.
  • May involve management of a small team or serve as a Subject Matter Expert.

Qualifications

  • Bachelor's Degree or equivalent experience, preferably in Engineering, Business, or a related field.
  • Familiarity with financial products, including Equities, Listed Derivatives, Fixed Income, and/or OTC Derivatives.
  • Understanding of the trade life cycle, including Orders, Executions, and Allocations.
  • Basic knowledge of Middle Office Trade Processing.
  • Strong interpersonal and communication skills.
  • Proficient in MS Word, Excel (including Pivot Tables and VLOOKUPs), PowerPoint, and Outlook.
  • Able to thrive under pressure, adapt to changing circumstances, and manage multiple tasks in a deadline-driven environment.

What We Offer

At Royal Bank of Canada, we are committed to fostering an environment that encourages growth and collaboration. We value each team member's contributions and strive to create a workplace where everyone can thrive.

  • A comprehensive rewards program, including competitive compensation and flexible benefits.
  • Supportive leadership focused on your professional development.
  • A dynamic and collaborative team environment.
  • Opportunities for challenging and impactful work.
  • Flexible work/life balance options.

Core Competencies

Audits Compliance, Communication, Critical Thinking, Data Analysis, Financial Regulation, Internal Controls, Organizational Governance, Quality Orientation, Time Management.

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