Senior Associate, US Regulatory Services

RBC; Toronto; On-site; CAD 60,000 - 100,000; Full time

Job summary

Join a forward-thinking company where you will play a key role in US Regulatory Services. This position offers the opportunity to leverage your expertise in financial reporting and compliance while overseeing a dynamic team. You'll ensure the accuracy and timeliness of regulatory submissions, develop controls, and drive process improvements. Collaborate with various departments to enhance reporting practices and support regulatory initiatives. This is a great chance to grow your career in a high-performing environment, gaining exposure to the global capital markets and building strong relationships with industry leaders.

Qualifications

• Bachelor’s Degree or Equivalent required, preferably in Engineering or Business.
• Strong proficiency in MS Office applications, especially Excel.

Responsibilities

• Oversee day-to-day reporting activities ensuring procedures are followed.
• Support the development of controls for timely and accurate reporting.
• Act as an escalation point for junior staff on complex issues.

Skills

Audits Compliance

Critical Thinking

Detail-Oriented

Financial Reporting and Analysis

Industry Knowledge

Internal Controls

Knowledge Organization

Education

Bachelor’s Degree in Engineering or Business

Tools

MS Word

Excel (including Pivot Tables and VLOOKUPs)

PowerPoint

Outlook

Job description

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 CAT, CAIS, Electronic Blue Sheets, LOPR, Short Interest, SEC 13DGH, TRACE, MSRB, 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?

• Fully knowledgeable on the day-to-day reporting activities and ensures all procedures are followed for assigned reports (May include CAT, CAIS, SEC 13DGH, 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 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
• 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 do you need to succeed?

Basic Qualifications

• 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

Other Required Qualifications:

• 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

What’s in it for you?

We thrive on the challenge to be our best, think progressively, continue our growth, and deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our individual / collective potential, making a difference to our communities, and achieving success that is mutual.

From this experience you will:

• Gain a strong foundation in fundamental investment banking skills such as financial modeling and analysis, transaction execution and negotiation, and in-depth industry and product knowledge
• Experience working in a dynamic, collaborative, progressive, and high-performing team
• Interact with leaders who support your development through coaching and mentoring opportunities
• Have the ability to make a difference through impactful transactions which help shape an industry
• Develop an analytical skillset through real world transaction experience
• Gain exposure and insight into the global capital markets
• Work directly with senior levels of Canada’s largest and fastest growing companies
• Build a long-term career in Investment Banking

Job Skills

Audits Compliance, Critical Thinking, Detail-Oriented, Financial Reporting and Analysis, Industry Knowledge, Internal Controls, Knowledge Organization

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:

2025-04-23

Application Deadline:

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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