RBC · 1 day ago
Trade Reporting Specialist
Minneapolis, Minnesota, United States of America
Full-time
Onsite
Mid Level
$70K/yr - $130K/yr
3+ years expRBC Capital Markets is seeking a Trade Reporting Specialist to support regulatory reporting of equity and option transactions for Wealth Management. The role involves managing the firm's Consolidated Audit Trail reporting needs and ensuring accuracy and compliance in trade reporting.
BankingFinancial ServicesWealth Management
Responsibilities
CAT requirements & mapping; verify accuracy or changes needed and implement process modifications
Confirms documentation, policy & procedures is in place for all business processes relating to CAT
Provide ongoing risk management and drive future CAT deliverables
Manage open project deficiencies deliverables
Work with business lines to assess new trade flows for accurate reporting
Holistic focus on documentation and process logic review
Review, design, and implement new processes/process changes and procedures to increase efficiency, reduce risk, or enrich service
Perform ongoing production support and maintenance updates for established end-user efficiency solutions
Assign responsibility and provides ongoing oversight to business and technical areas as necessary, overseeing tasks to completion
Assist in pulling data for regulatory inquiries
Participate in business requirement development, UAT testing, end-user training, and implementation support for enhancements and new firm initiatives for changing technology systems, supporting department processes
Develop and provide ongoing training support for end-user resources related to the department’s processes and systems
Provide feedback to department leadership team when appropriate
Qualification
Required
4-year degree from an accredited university or equivalent OR High school diploma or equivalent AND 3+ years of securities, banking, technology and/or job specific industry experience
1+ year prior securities, banking, technology industry and/or job specific related industry
Securities license 99 (or able to obtain license within 120 days)
Experience with brokerage systems
Fully proficient with MS Office (Word, Excel, PowerPoint, and Outlook)
SQL ability and knowledge
Process knowledge including risk assessment and quantification methodologies
Proven experience creating and implementing reporting and processes
Sound organizational knowledge with operational mindset; including products, processes, systems and regulatory and/or client needs
Preferred
Strong interpersonal, verbal and written communication skills, with an ability to work effectively with all levels of staff and management
Strong organizational, data management and mathematical skills
Benefits
A comprehensive Total Rewards Program including bonuses and flexible benefits
Competitive compensation
Commissions
Stock where applicable
401(k) program with company-matching contributions
Health, dental, vision, life and disability insurance
Paid time-off plan
Company
RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance.
10001+ employees
H1B Sponsorship
RBC has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (29)
2024 (17)
2023 (3)
2022 (4)
2021 (1)
2020 (2)
Funding
Current Stage
Public CompanyTotal Funding
$16.3B2025-10-30Post Ipo Debt· $5B
2025-09-15Post Ipo Debt· $1.35B
2025-07-10Post Ipo Debt· $177.74M
Leadership Team
Graeme Hepworth
Chief Risk Officer
Kelly Bradley
Chief Human Resources Officer
Recent News
2026-01-22
Qatar Tribune
2026-01-21
Company data provided by crunchbase