Senior Analyst, Customer Protection
RBC
full-time
Posted on:
Location Type: Office
Location: Jersey City • New Jersey • United States
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Salary
💰 $85,000 - $130,000 per year
Job Level
About the role
- Provide central governance and oversight of projects, change requests, and transactions which impact Possession and Control compliance capabilities
- Perform user acceptance testing program and workflow testing efforts, enforcing best practices testing protocol for each change
- Daily Compliance monitoring functions, root cause analysis, and management reporting of risk exceptions / operational performance
- Prepare departmental metrics and daily/weekly/ad-hoc management reports
- Fulfill applicable Monthly FOCUS Reporting (US only) requirements
- Perform daily monitoring activities with respect to assigned BPS user entry authorizations
- Perform Controls Testing covering key FRR (Financial Responsibility Rules) controls within BCS
Requirements
- Bachelor’s degree or equivalent preferably with emphasis in Business, Accounting, Finance, or Economics
- 7-10 + years’ experience in US Capital Markets Broker / Dealer Operation and or Canadian Broker Dealer
- Medium – Strong proficiency level interpreting and analyzing key BPS reports and tools: Stock Record, Pending Excess, Margin Trial Balance
- Medium – Strong level comprehension level of SEA Rule 15c-3 and CIRO 4311 (Possession and Control)
- Ability to collaborate with team members to review businesses, products and functional areas to identify key risks and synergy opportunities
- Medium to High proficiency level across Microsoft suite of products: Word, Excel (Macro knowledge), PowerPoint, Visio
Benefits
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Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
user acceptance testingworkflow testingroot cause analysisrisk managementcontrols testingfinancial responsibility rulesBPS report analysiscompliance monitoringdata reportingchange request management
Soft Skills
collaborationcommunicationanalytical thinkingproblem-solvingattention to detail