RBC · 4 hours ago
Associate, Customer Protection
Jersey City, New Jersey, United States of America
Full-time
Onsite
Mid, Senior Level
$85K/yr - $130K/yr
7+ years expRBC is a leading financial institution, and they are seeking an Associate for their Customer Protection Control team. This role involves providing governance and oversight of compliance capabilities, performing daily compliance monitoring, and collaborating with various teams on regulatory inquiries and projects.
BankingFinancial ServicesWealth Management
Responsibilities
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. (35%)
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
Project work and user acceptance testing of seg related system and workflow testing efforts (45%)
Qualification
Required
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)
Ability to collaborate with team members to review businesses, products and functional areas to identify key risks and synergy opportunities
Preferred
Medium to High proficiency level across Microsoft suite of products: Word, Excel (Macro knowledge), PowerPoint, Visio
Benefits
Discretionary bonus
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