Associate Director, Regulatory Reporting Data Specialist

Royal Bank of Canada•Jersey City, NJ

1d•Onsite

About The Position

RBC Capital Markets (RBC CM) is looking for a regulatory data specialist responsible for simplifying complex FINRA regulatory reports (CAT, TRACE, CAIS) into granular field-level data requirements and mapping them to internal Capital Markets systems. This role bridges regulatory compliance and data engineering by ensuring that every regulatory data field is accurately sourced, transformed, and reconciled. The specialist will identify data gaps, control issues, and reporting risks while working closely with technology teams to remediate breaks and maintain regulatory submission accuracy.

Requirements

Bachelor's degree in Computer Science, Information Technology, Data Science, or related field, or equivalent professional experience in data engineering or enterprise data architecture
5–7 years of experience in regulatory reporting, data compliance, or financial data management roles
Minimum 3 years of direct experience with FINRA reporting systems (CAT, TRACE, OATS, or equivalent)
Demonstrated experience performing field-level data mapping and reconciliation in regulated financial environments
Track record of identifying and resolving regulatory data quality and reporting issues
Experience working cross-functionally with technology and operations teams to remediate data pipeline failures
Expert-level understanding of FINRA regulatory reporting schemas and submission requirements for CAT, TRACE, and CAIS
Advanced SQL proficiency with ability to trace data fields across multiple tables and complex database structures
Strong knowledge of Capital Markets trade lifecycle (order → execution → allocation → settlement → reporting)
Deep understanding of instrument reference data, client data structures, and timestamp requirements in regulatory contexts
Proficiency with reconciliation tools and exception analysis methodologies
Ability to create detailed field-level mapping documentation and data gap analysis
Strong analytical and problem-solving skills to diagnose data quality and transformation issues
Experience presenting data-driven insights to both technical and non-technical audiences

Nice To Haves

Master's degree in Finance, Business Administration, Data Science, or related field
Relevant certifications such as Certified Financial Data Analyst (CFDA), Financial Risk Manager (FRM), or regulatory compliance certifications
Securities industry certifications (Series 7, Series 63, or equivalent)

Responsibilities

Analyze FINRA reporting schemas (CAT, TRACE, CAIS) and decompose requirements into field-level specifications
Map each regulatory reporting field to its source system, database table, and column, creating detailed field-level mapping documentation
Identify missing fields, incorrect transformations, and timing mismatches in regulatory data flows
Perform field-by-field reconciliation between internal systems and regulatory submissions to validate accuracy and completeness
Conduct exception analysis and gap logging to surface data quality issues and control deficiencies
Partner with technology teams to diagnose and remediate regulatory reporting breaks and data pipeline failures
Analyze regulatory reporting data to identify trends, anomalies, and systemic control gaps
Produce insights-driven presentations and reports for business stakeholders, technology teams, and compliance functions highlighting data quality metrics, control performance, regulatory risks, and recommended process improvements
Support change management initiatives related to regulatory reporting and data governance
Maintain current knowledge of evolving FINRA requirements and industry reporting standards