Senior Associate, US Regulatory Services

Senior Associate, US Regulatory Services

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 and broader planning within the area of expertise. This may include direct or indirect supervision of junior employees in a Manager or Team Lead capacity, owning functions such as remediating identified issues, control and risk management, reporting process improvement, and supporting regulatory change initiatives.

The role may focus on multiple forms of regulatory reporting, including CAT, CAIS, Electronic Blue Sheets, LOPR, Short Interest, SEC 13

DGH, TRACE, MSRB, and more, working closely with business groups, Compliance, Legal, Finance, and Technology.

What will you do?

• Fully knowledgeable on day‑to‑day reporting activities and ensure all procedures are followed for assigned reports (e.g., CAT, CAIS, SEC 13
  
  DGH, TRACE, EBS, LOPR).
• Serve as a final reviewer for assigned regulatory reporting submissions.
• Act as an effective layer of escalation for junior or less experienced staff on complex issues.
• Support development and implementation of controls to ensure timeliness, accuracy, and completeness of reporting, resolving any exceptions identified.
• Prioritize reporting anomaly issues, including requirement development.
• Produce presentations for stakeholders highlighting achievements, reporting metrics, and relevant material.
• Assist with impact assessment of system or business changes.
• Develop and harness ideas for continuous process improvement.
• Document, revise, and maintain procedures; ensure team training on all procedures.
• Possibly manage a small team or serve as a Functional SME.
• May be assigned to work on projects outside the core responsibilities.

What do you need to succeed?

Basic Qualifications

• Bachelor's Degree or Equivalent, preferably in Engineering, 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).
• Some understanding of Middle Office Trade Processing.
• Experience in Front Office / Middle Office trade processing is a plus.
• Management experience is a plus.
• Proficiency in MS Word, Excel (including Pivot Tables and VLOOKUPs), PowerPoint, and Outlook.

Other Required Qualifications

• Ability to work well under pressure, adapt to unexpected events, and prioritize in a deadline‑driven environment.
• High attention to detail and ability to maintain high standards despite pressing deadlines.
• Quick problem‑solving skills and a sense of urgency about delivering results.
• Excellent interpersonal and communication skills.
• Ability to build strong working relationships at all organizational levels.
• Strong judgment, professionalism, and integrity.
• Team player with a positive attitude.

What's in it for you?

We thrive on the challenge to be our best, encourage progressive thinking, and work together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference, and achieving mutual success.

• A comprehensive Total Rewards Program, including competitive compensation, flexible benefits such as a 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 management opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high‑performing team.
• Opportunities to do challenging work and build close relationships with clients.

The expected salary range for this position is $85,000 - $100,000 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 increases total compensation when the business meets performance targets and you meet your individual goals.

RBC's compensation philosophy and…