US Regulatory Services Analyst

RBC•Jersey City, NJ

1d•Onsite

About The Position

This role is responsible for producing and validating daily, weekly, or monthly regulatory reports, including Electronic Blue Sheets (EBS), CAT (Consolidated Audit Trail), CAIS (Customer and Account Reporting), SEC 13DG and H, and others as determined by management. The analyst will investigate and resolve exceptions using critical thinking and data analysis, escalating complex issues to supervisors or experts. The position also supports the development and implementation of controls to ensure reporting timeliness, accuracy, and completeness, and identifies automation opportunities to streamline processes. Documenting and revising procedures is also a key responsibility.

Requirements

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) a plus
Understanding of Middle Office Trade Processing is a plus
Strong proficiency in MS Word, Excel (inclusive of Pivot Tables and VLOOKUPs), PowerPoint, and Outlook
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

Understanding of financial products (Equities, Listed Derivatives, Fixed Income, and/or OTC Derivatives)
Understanding of the trade life cycle (Orders, Executions, Allocations)
Understanding of Middle Office Trade Processing

Responsibilities

Produce and/or validate for accuracy daily, weekly, or monthly regulatory reports including Electronic Blue Sheets (EBS), CAT (Consolidated Audit Trail), CAIS (Customer and Account Reporting), SEC 13DG and H, and more.
Investigate and resolve exceptions through critical thinking and data analysis.
Escalate more complex scenarios to supervisors or other experts.
Support the development and implementation of controls to ensure the timeliness, accuracy and completeness of reporting.
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.