Team Lead, Associate Director, US Regulatory Reporting

4 weeks ago

Toronto, Canada Royal Bank of Canada> Full time

Job Summary

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 includes 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 focuses on multiple forms of US regulatory reporting, such as Consolidated Audit Trail, 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.

Job Description

What will you do?

  • Local manager of US Regulatory Services team resources in the Toronto office.
  • 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 to produce 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.

What do 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
  • 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

# #LI-DM1

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:

2024-06-06

Application Deadline:

2024-06-23

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 jobs.rbc.com.

  • 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...

  • Team Lead, Associate Director, US Regulatory Reporting

    4 weeks ago

    TORONTO, 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...

  • Associate Director, Financial and Regulatory Reporting

    4 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat is the opportunity?Reporting to the Director, Financial and Regulatory Reporting, the opportunity is an Associate Director role within the Financial and Regulatory Reporting team primarily responsible for the financial reporting and regulatory reporting to a Regulatory Organization for certain legal entities within the Canadian...

  • Associate Director, Financial and Regulatory Reporting

    2 weeks ago

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

    Job SummaryJob DescriptionWhat is the opportunity?Reporting to the Director, Financial and Regulatory Reporting, the opportunity is an Associate Director role within the Financial and Regulatory Reporting team primarily responsible for the financial reporting and regulatory reporting to a Regulatory Organization for certain legal entities within the Canadian...

  • Associate Director, Financial and Regulatory Reporting

    2 weeks ago

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

    Job SummaryJob DescriptionWhat is the opportunity?Reporting to the Director, Financial and Regulatory Reporting, the opportunity is an Associate Director role within the Financial and Regulatory Reporting team primarily responsible for the financial reporting and regulatory reporting to a Regulatory Organization for certain legal entities within the Canadian...

  • Associate Director, Financial and Regulatory Reporting

    4 weeks ago

    Toronto, Canada Royal Bank of Canada> Full time

    Job SummaryJob DescriptionWhat is the opportunity?Reporting to the Director, Financial and Regulatory Reporting, the opportunity is an Associate Director role within the Financial and Regulatory Reporting team primarily responsible for the financial reporting and regulatory  reporting to a Regulatory Organization for certain legal entities within the...

  • Us Regulatory Reporting Lead

    4 weeks ago

    Toronto, 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...

  • Associate Director, Financial and Regulatory Reporting

    4 weeks ago

    Toronto, Canada RBC - Royal Bank Full time

    Job SummaryJob DescriptionWhat is the opportunity?Reporting to the Director, Financial and Regulatory Reporting, the opportunity is an Associate Director role within the Financial and Regulatory Reporting team primarily responsible for the financial reporting and regulatory reporting to a Regulatory Organization for certain legal entities within the Canadian...

  • Associate Director, Financial and Regulatory Reporting

    4 weeks ago

    TORONTO, Canada Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat is the opportunity?Reporting to the Director, Financial and Regulatory Reporting, the opportunity is an Associate Director role within the Financial and Regulatory Reporting team primarily responsible for the financial reporting and regulatory  reporting to a Regulatory Organization for certain legal entities within the...

  • 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...

  • Team Lead, Associate Director, Us Regulatory

    4 weeks ago

    Toronto, Canada Royal Bank of Canada Full time

    **Job Summary** What is the opportunity? **What will you do?** - Local manager of US Regulatory Services team resources in the Toronto office. - 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...

  • Director, Regulatory Reporting

    4 weeks ago

    Toronto, Canada CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

  • Associate Director, Liquidity Regulatory Reporting

    17 hours ago

    Toronto, Canada Scotiabank Full time

       Requisition ID: 202428Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Within Group Treasury, the Associate Director, Liquidity Regulatory Reporting will be responsible for managing the processes and deliverables associated with meeting liquidity and funding regulatory reporting requirements. Is...

  • Associate Director, Financial and Regulatory

    4 weeks ago

    Toronto, Canada Royal Bank of Canada Full time

    **Job Summary** **What is the opportunity?** Reporting to the Director, Financial and Regulatory Reporting, the opportunity is an Associate Director role within the Financial and Regulatory Reporting team primarily responsible for the financial reporting and regulatory reporting to a Regulatory Organization for certain legal entities within the Canadian...

  • Associate Manager, Product Regulatory Reporting

    4 weeks ago

    Toronto, Canada Canada Life Assurance Company Full time

    **Job Description**: The Associate Manager, Product Regulatory Reporting, Individual Wealth Solutions is responsible for supporting product regulatory reporting processes and deliverables for the Investment Funds business line and Investment Fund Manager entity, Canada Life Investment Management Limited (CLIML). The primary activities fall within three...

  • Associate Director, Regulatory Affairs

    2 weeks ago

    Old Toronto, Ontario, Canada Johnson & Johnson Full time

    Johnson & Johnson Innovative Medicine is recruiting for an Associate Director, Regulatory Affairs to be located in Toronto, Ontario under the flexible working model (at least 3 days in office). At Johnson & Johnson,we believe health is everything. Our strength in healthcare innovation empowers us to build aworld where complex diseases are prevented,...

  • Associate Director, Regulatory Affairs

    3 days ago

    Old Toronto, Canada Johnson & Johnson Full time

    Johnson & Johnson Innovative Medicine is recruiting for an Associate Director, Regulatory Affairs to be located in Toronto, Ontario under the flexible working model (at least 3 days in office). At Johnson & Johnson, we believe health is everything. Our strength in healthcare innovation empowers us to build a world where complex diseases are prevented,...

  • Director, Regulatory Trade Reporting

    2 weeks ago

    Old Toronto, Canada Canadian Imperial Bank of Commerce Full time

    Director, Regulatory Reporting page is loaded Director, Regulatory Reporting Apply locations Toronto, ON time type Full time posted on Posted 7 Days Ago job requisition id 2412452 We’re building a relationship-oriented bank for the modern world. We need talented, passionate...

  • Director, Regulatory Trade Reporting

    2 days ago

    Old Toronto, Canada Canadian Imperial Bank of Commerce Full time

    Director, Regulatory Reporting page is loaded Director, Regulatory Reporting Apply locations Toronto, ON time type Full time posted on Posted 7 Days Ago job requisition id 2412452 We’re building a relationship-oriented bank for the modern world. We need talented, passionate...