Senior Associate - US Regulatory Reporting

Job Opportunity

The US Regulatory Services team ensures accurate, timely, and comprehensive reporting to multiple exchanges, self-regulatory organizations, and the SEC. This role involves executing daily operational activities while contributing to broader strategic planning in the regulatory reporting domain. It includes responsibilities such as supervising junior staff in a managerial or team lead role and taking ownership of key reporting functions.

Key Responsibilities

• Manage day-to-day operations related to various regulatory reports including CAT, CAIS, SEC 13DGH, TRACE, Electronic Blue Sheets (EBS), LOPR, Short Interest, and MSRB as assigned.
• Review final regulatory submissions for accuracy and compliance.
• Serve as an escalation point for junior employees addressing complex reporting issues.
• Support the development and implementation of controls ensuring completeness, accuracy, and timeliness of reports, resolving any anomalies.
• Prioritize and manage resolution of reporting irregularities, potentially including requirements gathering.
• Create presentations for stakeholders summarizing achievements, metrics, and other reporting highlights.
• Participate in impact assessments of system or business changes related to reporting processes.
• Drive continuous improvements in reporting processes.
• Document, update, and maintain procedures while ensuring the team is adequately trained.
• May have people management responsibilities or act as a subject matter expert.
• Undertake additional projects as assigned beyond regular duties.

Required Qualifications

• Bachelor’s degree or equivalent, preferably in Engineering, Business, or related fields.
• Familiarity with financial instruments such as Equities, Listed Derivatives, Fixed Income, and OTC Derivatives.
• Strong understanding of trade lifecycle processes including Orders, Executions, and Allocations.
• Some experience or knowledge of Middle Office Trade Processing is required; Front or Middle Office trade processing experience is advantageous.
• Previous management experience is considered a plus.
• Proficient in MS Word, Excel (including Pivot Tables and VLOOKUP), PowerPoint, and Outlook.
• Ability to function well under pressure, prioritize tasks, and multitask in deadline-driven settings.
• High attention to detail and ability to maintain standards during challenging time frames.
• Strong problem-solving skills and proactive approach to achieving results.
• Excellent interpersonal and communication skills with the ability to build relationships at various organizational levels.
• Demonstrates professionalism, sound judgment, integrity, and teamwork.

Benefits and Culture

• Accessible Total Rewards Program including bonuses, competitive pay, commissions, and stock where applicable.
• Collaborative, progressive, and high-performing team environment.
• Challenging work assignments and opportunities to build deep client relationships.
• Access to a broad range of job opportunities across different businesses and geographies.

Additional Details

• Location: RBC Centre, 155 Wellington St W, Toronto, Canada
• Workweek: 37.5 hours
• Employment Type: Full-time, salaried position
• Platform: Capital Markets
• Application deadline is August 6, 2026, 11:59 PM.

Company Values

RBC is dedicated to shared values including Client First, Integrity, Collaboration, Respect, and Excellence. The organization embraces diversity and fosters an inclusive culture where employees can excel, contribute to their communities, and innovate continuously to deliver value.