Team Lead - Regulatory Reporting

What is the opportunity:

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 to broader planning within the area of expertise.  This includes direct or indirect supervision of junior employees in a manager or Team Lead capacity as well as direct “ownership” of functions.  Functions within the team includes remediating issues identified; control and risk management and reporting process improvement; providing support for regulatory change initiatives; and researching and responding to regulatory inquiries and exams. Additionally, the individual will utilize subject matter expertise while representing the department or function at a broader level.  Additional responsibilities may include performing user testing for existing process enhancements, documenting new procedures related to new reports on-boarded while acting as a go-to-person/escalation point for questions from junior analysts and other areas. This role focuses on multiple forms of regulatory reporting, such as Consolidated Audit Trail, Customer and Account Information System, Electronic Blue Sheets, Large Options Position Report, Short Interest, TRACE, MSRB, Qualified Financial Contract Recordkeeping, and more. The role works closely with several areas of the Firm to support the above functions, including various business groups within the Firm, Compliance, Legal, Finance, and Technology.

What will you do?

Principal Responsibilities:

• Fully knowledgeable on the day-to-day reporting activities and ensures all procedures are followed for assigned reports, primarily CAT and EBS.
• This includes direct or indirect supervision of junior employees in a manager or Team Lead capacity as well as direct “ownership” of functions
• As required, serves as a final reviewer for assigned regulatory reporting submissions
• Acts as an effective layer of escalation for junior or less experienced staff on complex issues
• Support the development and implementation of controls to ensure the timeliness, accuracy and completeness of reporting, and resolve any exceptions identified*
• Responsible for prioritization of reporting anomaly issues, which may include requirement development
• May be responsible to produce presentations for a range of stakeholders highlighting achievements, reporting metrics, and other relevant material
• May be responsible for assisting with impact assessment of system / business changes
• Develops and harnesses ideas for continuous process improvement
• Document, revise and maintain procedures as required; ensure team is trained on all procedures
• May have management responsibilities for a small team or serve as a Functional SME
• May be assigned to work on projects outside of responsibilities listed above

What do you need to succeed?

Basic Qualifications

• Bachelor’s Degree or Equivalent Required, preferably in Engineering or 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) is required
• Some understanding of Middle Office Trade Processing is required
• Some experience in Front Office / Middle Office trade processing is a plus
• Management experience is a plus
• Strong proficiency in MS Word, Excel (inclusive of Pivot Tables and VLOOKUPs), PowerPoint, and Outlook

Other Required Qualifications:

• FINRA Series 99 or other certifications, good to have.
• Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment  
• High attention to detail
• Ability to maintain high standards despite pressing deadlines
• Ability to solve problems quickly and efficiently
• Demonstrated dependability and sense of urgency about getting results
• Requires excellent interpersonal and communication skills 
• Ability to build strong working relationships with people at all organizational levels
• Must have excellent judgment, professionalism and integrity
• Team player with a positive attitude

Working Conditions:

• Office Environment
• Limited Travel
• Dynamic, Fast-Paced 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 include competitive compensation and flexible benefits, such as 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 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.

The expected salary range for this position is $125,000 - $190,000 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 gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

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

#LI-KA2

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

GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITYJersey CityUnited States of America40Full timeCAPITAL MARKETSRegularSalaried2025-08-132026-03-19

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

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.