RBC

Associate, Compliance 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

About the role

  • Perform daily Possession and Control (15c3-3 and 4311) oversight and reporting functions; including root cause analysis and aging deficits versus required thresholds
  • Filing 15c3-3 extension requests with FINRA when required
  • Ensure accurate record keeping of all data, reports, and supporting documentation maintained by the department
  • Prepare departmental metrics and daily/weekly/ad-hoc management reports
  • Assist in the fulfillment of CP Related regulatory/audit inquiries / reviews
  • Fulfill applicable Monthly FOCUS Reporting (US only) requirements
  • Provide support to the team with respect to ongoing FINOP and FOCUS reporting related projects and issues
  • Perform daily monitoring activities with respect to assigned BPS user entry authorizations
  • Perform Controls Testing covering key FRR (Financial Responsibility Rules) controls within BCS
  • Project work and user acceptance testing of seg related system and workflow testing efforts

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
  • A comprehensive Total Rewards Program including bonuses and flexible benefits
  • Competitive compensation
  • Commissions and stock where applicable
  • 401(k) program with company-matching contributions
  • Health, dental, vision, life and disability insurance
  • Paid time-off plan
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
root cause analysisrecord keepingmetrics preparationFOCUS reportingcontrols testinguser acceptance testingBPS report analysisSEA Rule 15c-3CIRO 4311financial responsibility rules
Soft Skills
collaborationrisk identificationsynergy opportunities