US Regulatory Services Analyst

RBC • Toronto, ON

2d • Onsite

About The Position

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 following established procedures analyzing and implementing regulations and rules while remediating issues identified. This role will focus on multiple forms of regulatory reporting, such as TRACE, MSRB, Electronic Blue Sheets (EBS), CAT (Consolidated Audit Trail), CAIS (Customer and Account Reporting), SEC 13DG and H, LOPR, Short Interest, and more. The role may work with several areas of the Firm to support the above functions, including various business groups within the Firm, Compliance, Legal, Finance, and Technology.

Requirements

• 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

Nice To Haves

• Fixed Income Operations
• Microsoft Excel
• Python Numpy
• VBA Macro

Responsibilities

• Responsible for following established guidelines to produce and/or validate for accuracy daily, weekly, or monthly regulatory reports including TRACE, MSRB, QFC, and more (and any other reports as determined by manager).
• Investigate and resolve exceptions through critical thinking and data analysis while escalating more complex scenarios to supervisors or other experts.
• 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 assigned by manager.

Benefits

• Leaders who support your development through training and study groups.
• Be a key enabler of RBC agile and technology transformation.
• Ability to make a difference and lasting impact by working on a cutting-edge product.
• Work in a dynamic, collaborative, progressive, and high-performing team.

What This Job Offers

• Job Type: Full-time
• Education Level: No Education Listed