Senior Complex Operations Associate

Royal Bank of Canada•New York, NY

8d•$55,000 - $90,000

About The Position

As a Senior Complex Operations Associate, you will be responsible for the execution of all complex operations activities including, but not limited to, the entering of client orders, the acceptance and disbursement of clients’ funds and securities and any other tasks that pertain to the effective functioning of the complex’ cage operations, as well as the complex as a whole. You will also be responsible for independently researching and resolving complex operational problems or issues. At RBC Wealth Management, your career progression matters to us. We offer training, development and learning resources so you continue to grow your career in a way that matters to you.

Requirements

Series 7 and Series 66 (or 63/65)
3+ years of industry experience
Advanced computer skills (including Microsoft Office)
Detail orientated, good math and organizational skills
Able to manage multiple demands and competing priorities

Nice To Haves

Associate’s degree or Bachelor’s degree
Ability to work independently in a fast-paced and deadline-oriented environment
Strong verbal and written communication and organization skills

Responsibilities

Facilitate the timely correction of all trade-related errors and cancel/rebills in accordance with complex main office, firm and regulatory policies and procedures.
Ensure that appropriate management approval is obtained and that all appropriate documentation is kept on file.
Accurately record all checks received from clients and ensure that they are credited to the proper accounts.
Transmit all checks received for deposit to Minneapolis on a daily basis.
Promptly and accurately notify the respective FA and/or Associate of all checks received from their clients.
Accurately record all securities and/or coupons received from clients and ensure that they are credited to the proper accounts.
Transmit all required information and documentation as it relates to the deposited securities (e.g., signatures, cusip numbers, legal documents, etc.) to Minneapolis on a daily basis.
Perform general office responsibilities including opening & distributing mail, stamping outgoing mail, sending and receiving faxes, and maintaining correspondence & all operations related files as required by complex main office and firm policies and procedures.
Enter all syndicate tickets by firm deadline.
Ensure that they are filled out completely and have the required documentation on file.
Obtain the appropriate management approval.

Benefits

A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
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
Flexible work/life balance options
Opportunities to do challenging work
Opportunities to take on progressively greater accountabilities
Access to a variety of job opportunities across business
A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
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.
Opportunities to do challenging work.
Opportunities to build close relationships with clients.
The expected salary range for this particular position is $ 55,000 - $90,000, depending on your experience, skills, and registration status, market conditions and business needs.
You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.