Job Description
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 could include 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 can include 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 current 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 may focus on multiple forms of regulatory reporting, such as CAT, CAIS, Electronic Blue Sheets, LOPR, Short Interest, SEC 13DGH, TRACE, MSRB, 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?

Fully knowledgeable on the day-to-day reporting activities and ensures all procedures are followed for assigned reports (May include CAT, CAIS, SEC 13DGH, TRACE, EBS, LOPR or as assigned by manager)

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

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:

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

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

Work in a dynamic, collaborative, progressive, and high-performing team

Opportunities to do challenging work

Opportunities to build close relationships with clients

Access to a variety of job opportunities across business and geographies

Job Skills
Audits Compliance, Critical Thinking, Detail-Oriented, Financial Reporting and Analysis, Industry Knowledge, Internal Controls, Knowledge Organization

Additional Job Details
Address: RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City: Toronto

Country: Canada

Work hours/week: 37.5

Employment Type: Full time

Platform: CAPITAL MARKETS

Job Type: Regular

Pay Type: Salaried

Posted Date: 2026-07-23

Application Deadline: 2026-08-06

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.

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📌 Senior Associate (Ontario)
🏢 RBC
📍 Ontario