Regulatory Reporting Associate

4 weeks ago

Jersey City, United States Royal Bank of Canada Full time

**Job Summary**
- Prepare and file various Broker-Dealer Regulatory Reports and assist with projects and process improvement initiatives for RBC Capital Markets, LLC.
- Ensure compliance with SEC, FINRA, CFTC, etc., Regulatory Reporting Requirements.

**What will you do?**
- Assist in all aspects of preparing the FOCUS and Supplemental Reports, i.e., SSOI, OBS, SIS, SLS, Form Custody & Schedule 1.
- Responsible for Net Capital Calculations under SEC Rule 15c3-1 for both broker dealers including but not limited to haircuts on securities and operational charges (Fails, Stock Borrows and Loans, Repo’s, Moment to Moment, Underwriting, etc.) as well as reconciliations to the Balance Sheet.
- Assist in the preparation of the weekly and month end 15c3-3 Customer and PAB Reserve calculations.
- Own the preparation of the month end variance analysis package presented to Senior Management.
- Involvement in Regulatory exams and audits. Provide support and documentation when required.
- Develop detailed policies and procedures which the broker dealer utilizes to comply with Regulatory Reporting requirements.
- Proactively identify areas for improvement and automation to reduce operational risks and enhance the control environment.
- Lead contact for internal and external audit remediation points.
- Assist in the preparation and filing of weekly and monthly FR2004 series reports.
- Assist in the preparation of various FRB Reporting (Ad-Hoc)
- Assist in automation using Python, SQL, Macro VBA

**What do you need to succeed?**
- Bachelor’s degree or work equivalent.
- Strong knowledge of Broker-dealer Regulatory Reporting (Rules 15c3-1 and or 15c3-3).
- Excellent PC skills, including proficiency in Excel and strong knowledge of Regulatory Applications (i.e. DASH: Fixed Income Haircuts and Risk Based Haircuts).
- Familiarity with stock record and corresponding security allocations as they relate to the 15c3-3 reserve formula.
- Python, SQL, Macro VBA
- Degree in accounting, financing, or management information systems
- Ability to identify areas for improvement and lead efforts to implement change.
- Strong oral and written communication skills.
- Excellent organizational skills needed to manage multiple and competing priorities.

**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 compensation, commissions, and stock where applicable
- 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
- Opportunities to do challenging work
- Opportunities to build close relationships with clients

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, Critical Thinking, Detail-Oriented, Financial Analysis and Reporting, Industry Knowledge, Internal Controls, Knowledge Organization, Structured Query Language (SQL), VBA Macro

**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**:
2024-05-09

**Application Deadline**:
2024-05-09

**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.

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