Manager, Securities Registration

What is the opportunity?

Responsible for the oversight of certain key processes conducted by the Securities Licensing and Registration team across two broker-dealers within the RBC umbrella: RBC Capital Markets LLC (encompasses both retail and institutional businesses) and RBC CMA Ltd. The role is also responsible for the maintenance of all current and future-state systems utilized by the Securities Licensing and Registration team (i.e., Registration Surveillance System ('RSS'), FINRA, etc.), including modifications and improvements.

What will you do?

• Assist in preparation of accurate and timely Form BD filings for RBC broker dealers, while escalating and resolving any inconsistencies.
• Prepare and submit Form BR filings and address inquiries from internal parties, including Audit, Compliance, and Business partners.
• Preparation and oversight of Form MA and Form ADV amendments and annual filing.
• Manage NFA 7R amendments and annual filings for the SWAP Dealer and RBCCM, LLC.
• Oversee and assist where necessary in pre-hire on-boarding process.
• Assist with the bi-annual permissive attestation process, ensure discrepancies are remediated.
• Assist with the Regulatory Supervisor attestation process, ensure discrepancies are remediated.
• Assist with the execution on the design and delivery of the new registration system, alongside key stakeholders within T&O.
• Understand and manage all Licensing & Registrations systems, including their upstream and downstream dependencies (i.e., SAP).
• Contribute to various annual user access reviews, inclusive of FINRA Contact System updates.
• Mentor, train, and guide five employees, inclusive of identifying additional tools and/or courses that may be necessary for their professional development.
• Oversee the five employees' daily responsibilities as necessary.

What do you need to succeed?

• Bachelor's Degree
• 5-7 or more years of experience in registrations compliance for a broker dealer firm or bank
• Knowledge of FINRA (particularly Rule1120), SEC, and MSRB expectations, rules, and regulations
• Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.
• Experience in licensing and registrations roles at a broker-dealer.
• Experience managing people within a small team.
• Add NFA for knowledge of rules and regulations.

Nice to have:

• Masters or Law School Degree

• Any FINRA Registrations (Series 7, 24, etc.)

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 include competitive compensation and flexible benefits, such as 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 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 build close relationships with clients.

The expected salary range for this particular position is $65,000-115,000, 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 gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

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

Job Skills

Additional Job Details

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.