What are the responsibilities and job description for the Associate Director, Controls Officer – U.S. Regulatory & Financial Reporting position at Royal Bank of Canada>?

Job Summary

We are seeking an experienced Controls Office with 5-10 years of experience in regulatory and financial reporting within the financial services sector. This role involves ensuring strong control environment, coordinating controls testing, reviewing findings, performing root cause analysis, and remediating self-identified issues. The focus will be on evaluating controls related to regulatory and financial reporting to various regulator, including Federal Reserve Bank (FRB), Office of the Controller of the Currency (OCC), and Financial Industry Regulatory Authority (FINRA). The role will primarily focus on the U.S. Finance control environment, covering both SOX and non-SOX areas

Job Description

What you will do :

Coordinate and oversee testing activities with controls testing teams, ensuring that control testing related to regulatory and financial is properly executed.
Review observations and findings from testing, conduct root cause analysis, and log and remediate self-identified findings.
Ensure compliance with regulatory requirements related to reporting to entities such as the FRB, OCC, and FINRA.
Evaluate the design and operations effectiveness of controls related to regulatory and financial submissions, identifying gaps or deficiencies.
Provide advice to management on overall risk assessments, residual risk evaluation, and the improvement of control environments.
Work closely with internal audit, regulators, and management teams to facilitate audits and control reviews.
Prepare reports and present findings to senior management, recommending corrective actions and process improvements, as necessary.

Must haves :

Bachelor’s degree in accounting, Finance, or a related field.

5-10 years of experience in internal controls, risk management, or audit functions, with a focus on regulatory and financial reporting.

Strong knowledge of regulatory reporting requirement for financial services, including experience with regulators such as the FRB, OCC, and FINRA.

Experience in both SOX and non-SOX environments, with the ability to assess the design and operating effectiveness of controls.

Demonstrated ability to coordinate with various testing teams and manage the remediation of findings.

Excellent communication and stakeholder management skills, with a proven ability to work with senior leadership and regulatory bodies.

Strong collaboration and relationship management skills with the ability to manage ambiguity to drive impactful outcomes.

Outstanding oral communication and presentation skills with experience facilitating discussion and building consensus.

Capability to manage complex business requirements and to coordinate across multiple teams in a deadline-driven environment.

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

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Job Skills

Additional Job Details

Address :

GOLDMAN SACHS TOWER, 30 HUDSON STREET : JERSEY CITY

City : Jersey City

Country :

United States of America

Work hours / week : Employment Type :

Full time

Platform : OFFICE OF THE CFO

Job Type : Regular

Pay Type : Salaried

Posted Date : 2024-11-15

Application Deadline :

2025-04-30

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

I nclusion 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 .

Salary : $110,000 - $190,000

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Associate Director, Controls Officer – U.S. Regulatory & Financial Reporting

What are the responsibilities and job description for the Associate Director, Controls Officer – U.S. Regulatory & Financial Reporting position at Royal Bank of Canada>?

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