Senior Associate, US Regulatory Services
RBC Capital Markets, LLC, Jersey City, NJ, United States
Senior Associate, US Regulatory Services
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 day‑to‑day operational execution and broader planning within the area of expertise. This may include direct or indirect supervision of junior employees in a Manager or Team Lead capacity, owning functions such as remediating identified issues, control and risk management, reporting process improvement, and supporting regulatory change initiatives. The role may focus on multiple forms of regulatory reporting, including CAT, CAIS, Electronic Blue Sheets, LOPR, Short Interest, SEC 13DGH, TRACE, MSRB, and more, working closely with business groups, Compliance, Legal, Finance, and Technology.
What will you do?
Fully knowledgeable on day‑to‑day reporting activities and ensure all procedures are followed for assigned reports (e.g., CAT, CAIS, SEC 13DGH, TRACE, EBS, LOPR).
Serve as a final reviewer for assigned regulatory reporting submissions.
Act as an effective layer of escalation for junior or less experienced staff on complex issues.
Support development and implementation of controls to ensure timeliness, accuracy, and completeness of reporting, resolving any exceptions identified.
Prioritize reporting anomaly issues, including requirement development.
Produce presentations for stakeholders highlighting achievements, reporting metrics, and relevant material.
Assist with impact assessment of system or business changes.
Develop and harness ideas for continuous process improvement.
Document, revise, and maintain procedures; ensure team training on all procedures.
Possibly manage a small team or serve as a Functional SME.
May be assigned to work on projects outside the core responsibilities.
What do you need to succeed?
Basic Qualifications
Bachelor's Degree or Equivalent, preferably in Engineering, Business, or a related subject.
Understanding of financial products (Equities, Listed Derivatives, Fixed Income, and/or OTC Derivatives).
Strong understanding of the trade life cycle (Orders, Executions, Allocations).
Some understanding of Middle Office Trade Processing.
Experience in Front Office / Middle Office trade processing is a plus.
Management experience is a plus.
Proficiency in MS Word, Excel (including Pivot Tables and VLOOKUPs), PowerPoint, and Outlook.
Other Required Qualifications
Ability to work well under pressure, adapt to unexpected events, and prioritize in a deadline‑driven environment.
High attention to detail and ability to maintain high standards despite pressing deadlines.
Quick problem‑solving skills and a sense of urgency about delivering results.
Excellent interpersonal and communication skills.
Ability to build strong working relationships at all organizational levels.
Strong judgment, professionalism, and integrity.
Team player with a positive attitude.
What's in it for you?
We thrive on the challenge to be our best, encourage progressive thinking, and work together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference, and achieving mutual success.
A comprehensive Total Rewards Program, including competitive compensation, flexible benefits such as a 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 management opportunities.
Ability to make a difference and lasting impact.
Work in a dynamic, collaborative, progressive, and high‑performing team.
Opportunities to do challenging work and build close relationships with clients.
The expected salary range for this position is $85,000 - $100,000 USD, 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 increases total compensation when the business meets performance targets and you meet your individual goals.
RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and play a critical role in attracting, engaging, and retaining talent that drives RBC's high performance culture, enables collective achievement of strategic goals, and generates sustainable shareholder returns and above‑market value.
Job Skills
Audits
Compliance
Critical Thinking
Detail‑Oriented
Financial Reporting and Analysis
Industry Knowledge
Internal Controls
Knowledge Organization
Additional Job Details
Address:
GOLDMAN SACHS TOWER, 30 HUDSON STREET: JERSEY CITY
City:
Jersey City
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CAPITAL MARKETS
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-07-04
Application Deadline:
(accepts applications until 11:59 PM on the day prior to the application deadline date above)
Inclusion and Equal Opportunity Employment
At RBC, we believe an inclusive workplace with diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps bring our Purpose to life and create value for our clients and communities. RBC strives to foster a workplace based on respect, belonging, and opportunity for all.
Join our Talent Community – stay in‑the‑know about great career opportunities at RBC. Sign up to receive customized info on our latest jobs, career tips and recruitment events that matter to you. 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 jobs.rbc.com.
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What will you do?
Fully knowledgeable on day‑to‑day reporting activities and ensure all procedures are followed for assigned reports (e.g., CAT, CAIS, SEC 13DGH, TRACE, EBS, LOPR).
Serve as a final reviewer for assigned regulatory reporting submissions.
Act as an effective layer of escalation for junior or less experienced staff on complex issues.
Support development and implementation of controls to ensure timeliness, accuracy, and completeness of reporting, resolving any exceptions identified.
Prioritize reporting anomaly issues, including requirement development.
Produce presentations for stakeholders highlighting achievements, reporting metrics, and relevant material.
Assist with impact assessment of system or business changes.
Develop and harness ideas for continuous process improvement.
Document, revise, and maintain procedures; ensure team training on all procedures.
Possibly manage a small team or serve as a Functional SME.
May be assigned to work on projects outside the core responsibilities.
What do you need to succeed?
Basic Qualifications
Bachelor's Degree or Equivalent, preferably in Engineering, Business, or a related subject.
Understanding of financial products (Equities, Listed Derivatives, Fixed Income, and/or OTC Derivatives).
Strong understanding of the trade life cycle (Orders, Executions, Allocations).
Some understanding of Middle Office Trade Processing.
Experience in Front Office / Middle Office trade processing is a plus.
Management experience is a plus.
Proficiency in MS Word, Excel (including Pivot Tables and VLOOKUPs), PowerPoint, and Outlook.
Other Required Qualifications
Ability to work well under pressure, adapt to unexpected events, and prioritize in a deadline‑driven environment.
High attention to detail and ability to maintain high standards despite pressing deadlines.
Quick problem‑solving skills and a sense of urgency about delivering results.
Excellent interpersonal and communication skills.
Ability to build strong working relationships at all organizational levels.
Strong judgment, professionalism, and integrity.
Team player with a positive attitude.
What's in it for you?
We thrive on the challenge to be our best, encourage progressive thinking, and work together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference, and achieving mutual success.
A comprehensive Total Rewards Program, including competitive compensation, flexible benefits such as a 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 management opportunities.
Ability to make a difference and lasting impact.
Work in a dynamic, collaborative, progressive, and high‑performing team.
Opportunities to do challenging work and build close relationships with clients.
The expected salary range for this position is $85,000 - $100,000 USD, 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 increases total compensation when the business meets performance targets and you meet your individual goals.
RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and play a critical role in attracting, engaging, and retaining talent that drives RBC's high performance culture, enables collective achievement of strategic goals, and generates sustainable shareholder returns and above‑market value.
Job Skills
Audits
Compliance
Critical Thinking
Detail‑Oriented
Financial Reporting and Analysis
Industry Knowledge
Internal Controls
Knowledge Organization
Additional Job Details
Address:
GOLDMAN SACHS TOWER, 30 HUDSON STREET: JERSEY CITY
City:
Jersey City
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CAPITAL MARKETS
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-07-04
Application Deadline:
(accepts applications until 11:59 PM on the day prior to the application deadline date above)
Inclusion and Equal Opportunity Employment
At RBC, we believe an inclusive workplace with diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps bring our Purpose to life and create value for our clients and communities. RBC strives to foster a workplace based on respect, belonging, and opportunity for all.
Join our Talent Community – stay in‑the‑know about great career opportunities at RBC. Sign up to receive customized info on our latest jobs, career tips and recruitment events that matter to you. 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 jobs.rbc.com.
#J-18808-Ljbffr