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Associate Director, Regulatory Reporting

Company: Royal Bank of Canada
Location: Jersey City
Posted on: January 15, 2022

Job Description:

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) Ensure the firm is in compliance with FINRA, SEC, CFTC, FRB and various other regulatory reporting requirements. -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 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 and assist in the preparation of various FRB and TIC reports. -What do you need to succeed?Series 27 License PreferredExcellent knowledge of SEA rules 15c3-1 and 15c3-37-10 years US Broker Dealer Regulatory reporting experienceAbility 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.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.A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensationLeaders who support your development through coaching and managing opportunitiesAbility to make a difference and lasting impact -Work in a dynamic, collaborative, progressive, and high-performing team -RBC requires as a condition of employment that all successful candidates in the United States and Canada be fully vaccinated against COVID-19 prior to their start date, and may require proof of the same. - Reasonable accommodation is available where required by law.RBC exige, -- titre de condition d'emploi, que tous les candidats retenus aux --tats-Unis ou au Canada soient enti--rement vaccin--s contre la COVID-19 avant leur date d'entr--e en fonction. Il est possible qu'ils aient -- pr--senter une preuve vaccinale. Des mesures raisonnables d'adaptation sont offertes lorsque la loi l'exige.Join our Talent CommunityStay in-the-know about great career opportunities at RBC. Sign up -and get 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 SUMMARYCity: - -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: - -01/06/2022 -Platform: - -CFO GroupReq ID: - -429621Ad Code(s): - -Job SummaryJob number: 429621Date posted : 2021-11-05Profession: Finance - AccountingEmployment type: Full TimeExperience: Experienced Hire/Professional

Keywords: Royal Bank of Canada, Jersey City , Associate Director, Regulatory Reporting, Accounting, Auditing , Jersey City, New Jersey

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