Head of Client Reporting Operations – US Wealth Management

RBC Capital Markets, LLC

Minneapolis (MN)

Hybrid

USD 160,000 - 230,000

Full time

14 days+

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Benefits offered by this job

Bonus potential

Job summary

RBC Capital Markets, LLC is seeking a senior leader for US WM Operations’ Client Reporting to drive strategic and tactical direction for cost basis, performance reporting, tax, statements, trade confirmation and prospectus operations. The Hybrid role requires extensive regulatory experience and a proven change-agent to transform client reporting platforms.

The leader will oversee budgets, staffing, and performance metrics, collaborating with senior management and external vendors to meet

Qualifications

Bachelor's degree in finance or related field.
Securities license 7 or 99 (or able to obtain license within 120 days).
10+ years securities, banking, technology industry and/or job specific related experience.
10+ years demonstrated and sound managerial experience leading and managing a team.
10+ years project management, vendor management, analysis, and/or risk control experience.
Direct experience with FINRA, SEC, FED, OCC and/or IRS regulatory matters and audits.
Demonstrated aptitude in building, directing and leading individuals and teams with proven ability to attract, develop, mentor, and retain top talent.
Proven change leadership and change management experience with exceptional conflict management, negotiation and influencing skills.
Advanced knowledge related to business lines, business strategy, needs and technology.
Advanced problem identification, analytical and resolution skills required to support escalated issue resolution and/or oversight requirements associated with exception-based complex processes.
Comfortable in a position affording visibility and interface with senior management/executive.
Ability to work effectively in situations involving rapid change, shifting priorities, and/or simultaneous demands.

Responsibilities

Oversee complex exception-based and/or highly specialized department deliverables and processes to ensure controls are effectively managing work quality, mitigating risk, and aligned to regulatory adherence.
Lead, manage and support department leadership to ensure overall performance meets or exceeds the established industry and company standards for service, innovation, and professionalism.
Provide training, coaching, recognition, and development for team members, fostering teamwork and planning for succession.
Establish and maintain credible, professional relationships with clients, internal business lines and external vendors, soliciting and responding to feedback and gaining their commitment and support. Serve as a senior leader on industry, business, and functional committees.
Apply knowledge of industry trends, regulations, and technologies to long-term strategy for areas of responsibility and coordinate with other Operations and RBC departments.
Oversee Operational compliance with FINRA, SEC, FED, and IRS rules. Represent Operations in all regulatory continuous monitoring discussions with Regulators ensuring requirements are met and acceptable controls/monitoring programs have been established and are maintained.
Manage department budget, financial forecasts, staffing models and department metric tracking and drive the development, recommendation, and execution of business plans.