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Associate Director, Regulatory Reporting

Expired Job

Royal Bank Of Canada Jersey City , NJ 07097

Posted 3 months ago

What is the opportunity?

  • Prepare and file all aspects of broker dealer regulatory reporting for RBC Capital Markets LLC (CM LLC). Assist with broker dealer regulatory reporting for RBC Capital Markets Arbitrage S.A. (CMA) and RBC Global Asset Management (GAM).

  • Ensure the firm is in compliance with FINRA, SEC, CFTC, FRB and various other regulatory reporting requirements.

What will you do?

  • Prepare and file the monthly CMLLC FOCUS report with various Regulators, as well as own the FOCUS Report preparation process from start to finish.

  • Prepare and review supplemental reporting schedules such as SIS, SSOI, Form Custody, OBS.

  • Prepare and present the month end FOCUS variance package to senior management. Research monthly variances and communicate key drivers.

  • Review various month end haircut and operational charge schedules in depth.

  • Manage the weekly 15c3-3 Customer and PAB reserve computation. Review month end reconciliation to the FOCUS filing as well as the month end reserve presentation.

  • Review various daily filings for CMLLC including but not limited to CFTC Seg, Secured and Cleared Swaps calculations, the daily net capital estimate for both CMLLC and CMA and the daily dashboard sent to senior management.

  • Key contact for various regulatory exams and audits, both external and internal. Provide requested support and documentation.

  • Proactively identify control weaknesses as well as areas for improvement and automation in order to reduce operational risks and enhance the control environment.

  • Review various FRB and TIC reports.

Managerial Excellence

  • Ensure that employees understand RBC vision, as well as support and reinforce targeted behaviors that contribute to RBC goals.

  • Provide focus and clarity in establishing individual goals, driving performance management, supporting career development and rewarding strong performance.

  • Leverage the value in unit, department, and enterprise wide teams to develop better solutions and achieve a cross enterprise mindset.

  • Accept and successfully execute change while supporting employees through the process, and keeping them focused on business priorities.

  • Understand and exemplify our people driven, client focused leadership model; driving impact, unlocking the potential of our people, adapt quickly, always learning and speaking up for the good of RBC.

  • Contribute to an exceptional employee experience through strong people leadership practices that amplify our Collective Ambition and exemplify the Leadership Model to inspire, support and empower employees to achieve their potential.

  • Growth mindset and a focus on always learning; promotes a values based and inclusive workplace; embraces diverse styles and perspectives; Actively mitigates bias and improves diversity representation

What do you need to succeed?

Basic Qualifications

  • Excellent knowledge of SEA rules 15c3-1and15c3-3
  • 7-10 years US Broker Dealer Regulatory reporting experience

Other Required Qualifications:

  • Series 27 preferred

  • Ability to work well in a fast paced environment and prioritize work to meet short deadlines.

  • Knowledge of broker dealer Operations and the impact on Regulatory reporting.

  • Ability to manage multiple Regulatory tasks simultaneously, operate within deadlines and escalate to management when appropriate.

  • Strong analytical skills and a high proficiency with Microsoft software applications.

  • Teamwork and collaboration oriented with the ability to work independently.

  • Must demonstrate a strong attention to detail while maintaining the ability to think strategically.

  • Excellent communication and problem solving skills.

  • Ability to see projects through with limited supervision within the required timeframe.

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.

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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at rbc.com/careers.

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.

JOB SUMMARY

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

Required Travel (%): 0-25

Exempt/Non-Exempt: Exempt

People Manager: No

Application Deadline: 11/30/2018

Req ID: 172995

Posting Notes: None


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Associate Director, Regulatory Reporting

Expired Job

Royal Bank Of Canada