Associate, US Regulatory Services

Role overview

This position sits within US Regulatory Services and is focused on making sure regulatory submissions are delivered accurately, completely, and on time to exchanges, self-regulatory organizations, and the SEC. The role combines hands-on daily operations with broader ownership of process quality, issue remediation, and support for change initiatives. It also involves responding to regulatory questions and examinations, contributing subject-matter expertise, and acting as a point of contact for questions from junior analysts and partner teams.

Key areas of responsibility

The role may cover several types of reporting, including Electronic Blue Sheets (EBS), CAT (Consolidated Audit Trail), CAIS (Customer and Account Reporting), SEC 13DG and H, LOPR, Short Interest, TRACE, MSRB, and additional reports assigned by the manager. The position works closely with business teams across the firm, as well as Compliance, Legal, Finance, and Technology.

• Oversee the daily reporting workflow and ensure established procedures are followed for assigned regulatory reports.
• Act as final reviewer for regulatory submissions when required.
• Serve as an escalation point for junior or less experienced team members handling complex matters.
• Help build and strengthen controls that support timeliness, accuracy, and completeness, and work through exceptions when they arise.
• Prioritize reporting issues and, where needed, contribute to requirement definition.
• Create presentations for stakeholders that summarize achievements, reporting data, and related materials.
• Support impact assessments for system or business changes.
• Promote continuous improvement by identifying and developing better ways of working.
• Write, update, and maintain procedures as business needs change.
• May guide day-to-day work for junior employees and provide coverage for the Team Manager when absent.

Qualifications and experience

A bachelor’s degree or an equivalent background is required, ideally in Engineering, Business, or a related field. Strong familiarity with financial products such as equities, listed derivatives, fixed income, and/or OTC derivatives is expected. A solid understanding of the trade lifecycle, including orders, executions, and allocations, is necessary, along with some knowledge of middle office trade processing. Prior management experience is considered an asset. The role also requires advanced proficiency with MS Word, Excel, PowerPoint, and Outlook, including PivotTables and VLOOKUPs.

• Ability to perform well under pressure and adapt quickly to unexpected situations.
• Strong time management skills with the ability to prioritize and handle multiple tasks in a deadline-driven setting.
• Careful attention to detail and a consistent standard of quality.
• Strong problem-solving ability and a sense of urgency in delivering results.
• Reliable, professional, and capable of maintaining high standards even when timelines are tight.
• Excellent communication and interpersonal skills.
• Ability to form effective working relationships across all levels of the organization.
• Sound judgment, professionalism, and integrity.
• A collaborative mindset and a positive approach to teamwork.

Tools and professional skills

The role values audits and compliance awareness, critical thinking, detail orientation, financial reporting and analysis, industry knowledge, internal controls, and strong organizational skills.

Work arrangement and job details

This is a full-time, on-site regular role based at RBC Centre, 155 Wellington St W, Toronto, Ontario, Canada. The workweek is 37.5 hours. Compensation is salaried, but no specific pay amount was provided. The posting was listed on 2026-06-05, and applications are accepted until 11:59 PM on 2026-06-29. Applications submitted after that time will not be considered.

What this opportunity offers

RBC describes an environment built around shared values of Client First, Integrity, Collaboration, Respect, and Excellence. The organization emphasizes inclusion, diverse perspectives, professional development, and collaboration. This role offers exposure to capital markets, senior stakeholders, and a high-performing team, along with coaching, mentoring, and opportunities to build long-term career experience in investment banking.

• Build a foundation in core investment banking capabilities such as financial modeling, analysis, transaction execution, negotiation, and product knowledge.
• Work in a dynamic, collaborative, and high-performing environment.
• Receive development support through coaching and mentoring.
• Contribute to meaningful transactions that influence the industry.
• Strengthen analytical skills through real-world transaction experience.
• Gain exposure to global capital markets.
• Work directly with senior leaders from Canada’s largest and fastest-growing companies.
• Develop long-term career potential in investment banking.

Additional employer information

RBC states that it welcomes candidates for this existing vacancy and that qualified applicants may be contacted to discuss their resume further. The employer also notes its focus on supporting employees, driving innovation, and creating a respectful workplace where people can belong and grow.