Associate Director, Regulatory Reporting

Job Summary

What is the opportunity?

The Associate Director, Regulatory Reporting will prepare and file all aspects of broker dealer regulatory reporting for RBC Capital Markets LLC (CM LLC) and ensure the firm is in compliance with FINRA, SEC, CFTC, FRB and various other regulatory reporting requirements.

Job Description

What will you do?

• Manage and assist with 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.
• Prepare and file the monthly CMLLC FOCUS report with various Regulators. Must be in a position to own the FOCUS Report preparation process from start to finish.
• Prepare and/or review supplemental reporting schedules such as SIS, SSOI, Form Custody, OBS, and Supplemental Liquidity Schedule.
• 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.
• Review various daily filings for CMLLC including but not limited to CFTC Seg, Secured and Cleared Swaps calculations, the daily net capital estimate for CMLLC and the daily dashboard sent to senior management.
• Identify as the 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 and assist in the preparation of various FRB and TIC reports.
  
  

What do you need to succeed?

Must-Have

• Series 27 License Preferred
• Excellent knowledge of SEA rules 15c3-1 and 15c3-3
• 7-10 years US Broker Dealer Regulatory reporting experience
• Ability to work well in a face paced environment and prioritize work to meet short deadlines.
• Knowledge of broker dealer Operations and the impact on Regulatory reporting.
• 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.

• A comprehensive Total Rewards Program including competitive compensation, bonuses, and flexible benefits
• Continued opportunities for career advancement
• World-class sales training, coaching, and development opportunities
• Support from a dynamic, collaborative, progressive, and high performing team, as well as world-class tools and training
• Opportunity to achieve great success and grow your career with RBC
  
  

ROLES IN: NY, NJ, CA, CO

The good-faith expected salary range for the above position is $110,000 - $190,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC’s high performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value
  
  

Job Skills

Audits Compliance, Communication, Critical Thinking, Detail-Oriented, Financial Reporting and Analysis, Industry Knowledge, Internal Controls, Knowledge Organization, Organizational Change Management, Team Management

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:

OFFICE OF THE CFO

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-11-05

Application Deadline:

2025-04-30

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.

We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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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 jobs.rbc.com