Senior Analyst, 15c3-3 Compliance Customer Protection at Dr Bill RBC Ventures

Jersey City, New Jersey, United States -

Full Time

Start Date

Immediate

Expiry Date

31 May, 26

Salary

130000.0

Posted On

02 Mar, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

User Acceptance Testing, Compliance Monitoring, Root Cause Analysis, Record Keeping, Management Reporting, Regulatory Inquiries, Audit Inquiries, FOCUS Reporting, Controls Testing, Possession and Control, Broker Dealer Operations, BPS Reports, Stock Record Analysis, Pending Excess Analysis, Margin Trial Balance Analysis, Collaboration

Industry

Banking

Description

Job Description What is the opportunity? The Senior Analyst, Customer Protection Team is tasked with providing central governance and oversight of projects, change requests, and transactions which impact Possession and Control (SEA Rule 15c3-3 & CIRO 4300) compliance capabilities of the U.S Broker Dealer (LLC) and Canadian Broker Dealer (DSI). This role will call for the performance of the user acceptance testing program of seg related system and workflow testing efforts, enforcing best practices testing protocol for each change. Additionally, the daily Compliance monitoring functions, root cause analysis, enforcement of best practices, and management reporting of risk exceptions / operational performance. The person who fills this role will be expected to effectively collaborate across multiple functional teams, business lines, and infrastructure partners (technology, compliance, legal, finance); and directly with various senior stakeholders / team leads. 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. This role will call for the performance of daily Compliance monitoring functions, root cause analysis, enforcement of best practices, and management reporting of risk exceptions / operational performance. Additionally, the role will entail periodic risk metrics reporting, active participation in numerous projects and special initiatives, assisting department management with Regulatory, Compliance and Audit inquires, and assisting the team with its user acceptance testing (Compliance related system and workflow enhancements) responsibilities. The person who fills this role will be expected to effectively collaborate across multiple functional teams, business lines, and infrastructure partners (technology, compliance, legal, finance); and directly with various senior stakeholders / team leads. What will you do? This role is responsible for user acceptance testing program of seg related system and workflow testing efforts; enforcing best practices testing protocol for each change. (60%) Perform daily Possession and Control (15c3-3 and 4300) oversight and reporting functions; including root cause analysis and aging deficits versus required thresholds, filing 15c3-3 extension requests with FINRA when required. (20%) Daily BAU (20%) 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 What do you need to succeed? Basic Qualifications Bachelor’s degree or equivalent preferably with emphasis in Business, Accounting, Finance, or Economics. Or strong extended experience in equivalent role. 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). Other Required Qualifications: Ability to collaborate with team members to review businesses, products and functional areas to identify key risks and synergy opportunities. Suggested Qualifications: Medium to High proficiency level across Microsoft suite of products: Word, Excel (Macro knowledge), PowerPoint, Visio. 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 Leaders who support your development through coaching and managing opportunities Ability to make a difference and lasting impact Work in a dynamic, collaborative, progressive, and high-performing team Opportunities to do challenging work Opportunities to building close relationships with clients The good-faith expected salary range for the above position is $85,000.00 - $130,000.00 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan. RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that: Drives RBC’s high-performance culture Enables collective achievement of our strategic goals Generates sustainable shareholder returns and above market shareholder value #LI-KA2 Job Skills Active Learning, Adaptability, Customer Service, Decision Making, Interpersonal Relationship Management, Operational Delivery, Process Improvements, Time Management Additional Job Details Address: GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY City: Jersey City Country: United States of America Work hours/week: 40 Employment Type: Full time Platform: CAPITAL MARKETS Job Type: Regular Pay Type: Salaried Posted Date: 2026-01-27 Application Deadline: 2026-03-15 Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above Inclusion and Equal Opportunity Employment At 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. Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com. RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail. Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 84,000+ employees who bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada’s biggest bank, and one of the largest in the world based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to more than 16 million clients in Canada, the U.S. and 34 other countries. Learn more at rbc.com.‎ We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at rbc.com/community-social-impact.

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Responsibilities

The role is primarily responsible for overseeing Possession and Control (15c3-3 & 4300) compliance through user acceptance testing, daily oversight, reporting, and root cause analysis, including filing extension requests when necessary. Additionally, the analyst will handle daily BAU tasks such as record keeping, preparing management metrics, assisting with regulatory inquiries, and performing Controls Testing over key Financial Responsibility Rules.