Associate Director, Regulatory Reporting Data Specialist

What is the Opportunity?

RBC Capital Markets (RBC CM) is looking for a regulatory data specialist responsible for simplifying complex FINRA regulatory reports (CAT, TRACE, CAIS) into granular field-level data requirements and mapping them to internal Capital Markets systems. This role bridges regulatory compliance and data engineering by ensuring that every regulatory data field is accurately sourced, transformed, and reconciled. The specialist will identify data gaps, control issues, and reporting risks while working closely with technology teams to remediate breaks and maintain regulatory submission accuracy.

What will you do?

• Analyze FINRA reporting schemas (CAT, TRACE, CAIS) and decompose requirements into field-level specifications

• Map each regulatory reporting field to its source system, database table, and column, creating detailed field-level mapping documentation

• Identify missing fields, incorrect transformations, and timing mismatches in regulatory data flows

• Perform field-by-field reconciliation between internal systems and regulatory submissions to validate accuracy and completeness

• Conduct exception analysis and gap logging to surface data quality issues and control deficiencies

• Partner with technology teams to diagnose and remediate regulatory reporting breaks and data pipeline failures

• Analyze regulatory reporting data to identify trends, anomalies, and systemic control gaps

• Produce insights-driven presentations and reports for business stakeholders, technology teams, and compliance functions highlighting data quality metrics, control performance, regulatory risks, and recommended process improvements

• Support change management initiatives related to regulatory reporting and data governance

• Maintain current knowledge of evolving FINRA requirements and industry reporting standards

What do you need to succeed?

Must Have:

• Bachelor's degree in Computer Science, Information Technology, Data Science, or related field, or equivalent professional experience in data engineering or enterprise data architecture
• 5-7 years of experience in regulatory reporting, data compliance, or financial data management roles
• Minimum 3 years of direct experience with FINRA reporting systems (CAT, TRACE, OATS, or equivalent)
• Demonstrated experience performing field-level data mapping and reconciliation in regulated financial environments
• Track record of identifying and resolving regulatory data quality and reporting issues
• Experience working cross-functionally with technology and operations teams to remediate data pipeline failures
• Expert-level understanding of FINRA regulatory reporting schemas and submission requirements for CAT, TRACE, and CAIS
• Advanced SQL proficiency with ability to trace data fields across multiple tables and complex database structures
• Strong knowledge of Capital Markets trade lifecycle (order execution allocation settlement reporting)
• Deep understanding of instrument reference data, client data structures, and timestamp requirements in regulatory contexts
• Proficiency with reconciliation tools and exception analysis methodologies
• Ability to create detailed field-level mapping documentation and data gap analysis
• Strong analytical and problem-solving skills to diagnose data quality and transformation issues
• Experience presenting data-driven insights to both technical and non-technical audiences

Nice to Have:

• Master's degree in Finance, Business Administration, Data Science, or related field
• Relevant certifications such as Certified Financial Data Analyst (CFDA), Financial Risk Manager (FRM), or regulatory compliance certifications
• Securities industry certifications (Series 7, Series 63, or equivalent)

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 position is $125,000 - $190,000 USD, 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

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.

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.