• Royal Bank of Canada
  • $60,120.00 -104,500.00/year*
  • Jersey City , NJ
  • Media
  • Part-Time
  • 10 Bayside Terrace

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What is the opportunity?

Regulatory Operations is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations and the SEC.
The individual in this role is responsible for analyzing and implementing regulations and rules; proposing / implementing control and risk management improvements, supporting regulatory change initiatives; improving reporting processes, remediation of issues identified; and researching and responding to regulatory inquiries and exams.
This role will focus on multiple forms of regulatory reporting, such as Electronic Blue Sheets, LOPR, Short Interest, 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?

  • Produce and/or validate for accuracy daily, weekly, or monthly regulatory reports including: Electronic Blue Sheets, LOPR, Short Interest, TRACE, MSRB, (and others)*
  • Investigate and resolve exceptions through critical thinking and data analysis*
  • Assist with coordinating the remediation of reporting anomalies (raise JIRAs, document requirements, and perform checkout etc.)
  • Assist with the production of presentations for a range of stakeholders highlighting achievements, reporting metrics, and other relevant material
  • Contribute to the review and analysis of new business, rule changes or system changes that impact reporting processes and perform testing.
  • Support the development and implementation of controls to ensure the timeliness, accuracy and completeness of reporting, and resolve any exceptions identified*
  • Maintain a strong focus on streamlining processes by identifying and implementing automation opportunities
  • Document and revise procedures as required
  • Once live, support the Firm s Consolidated Audit Trail (CAT) reporting obligations

    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) preferred
  • Understanding of the trade life cycle (Orders, Executions, Allocations) preferred
  • Understanding of Middle Office Trade Processing is a plus
  • Strong proficiency in MS Word, Excel (inclusive of Pivot Tables and VLOOKUPs), PowerPoint, and Outlook.
  • Technical mindset with basic understanding of SQL and VBA a plus

    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

    Suggested Qualifications:

  • FINRA Series Licenses (7 or 99)
  • What s in it for you?

    We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper.
    We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

  • Leaders who support your development through coaching and managing opportunities
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • About RBC
    Royal Bank of Canada is Canada s largest bank, and one of the largest banks in the world, based on market capitalization.
    We are one of North America s leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis.
    We have over 80,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S.
    and 37 other countries.
    For more information, please visit rbc.com.

    Inclusion and Equal Opportunity Employment
    RBC is an equal opportunity employer committed to diversity and inclusion.
    We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors.
    Disability-related accommodations during the application process are available upon request.


    City: Jersey City
    Address: 30 Hudson Street
    Work Hours/Week: 40+
    Work Environment: Office
    Employment Type: Permanent
    Career Level: Experienced Hire/Professional
    Pay Type: Salaried
    Position Level: CM - Professional
    Required Travel(%): 0
    Exempt/Non-Exempt: Exempt
    People Manager: No
    Application Deadline: 04/30/2019
    Req ID: 183300

    Ad Code(s):

    * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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