Job Listing
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| Job ID: 14074116 |
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| How to Apply: | To see employer contact information, log in or register. |
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| Job Title: | CAT Operations Specialist II |
| Work Type: | Work Days: Work Vary: Yes , Shift: Other, Hours Per Week: 40, Work Type: Regular |
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| Salary Offered: | Unspecified |
| Benefits: | Unspecified. |
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| Physical Required: | Unspecified |
| Drug Testing Required: | Unspecified |
| Education Required: | High School Diploma/GED |
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| Experience Required: | Unspecified |
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| Required Skills: | Please see the job description for information about required job skills. |
| Preferred Skills: |
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| Job Description: |
Job Summary
Analyzes operational problems such as office space utilization, equipment utilization, management reporting systems and staffing patterns; prepares written recommendations for changes and/or improvements. Applies complete knowledge, skills, and practices to perform assignments.
Job Description
What is the opportunity?
Join RBC Wealth Management, a 2021 Minneapolis/St. Paul Business Journal "Top Place to Work", and shape RBC's future! RBC US WM Operations is a fun, energetic team whose goal is to provide excellent customer service for our clients, work towards dynamic goals to help support our organization's growth strategy, all while ensuring safety and soundness through robust risk management practices.
This position supports Consolidated Audit Trail (CAT) regulatory reporting for US Wealth Management. The role will mainly be responsible for managing the daily Customer and Account Information System (CAIS)/CAT rejects and material inconsistencies, including researching and resolving errors, distributing errors to C&C and PCG partners for resolution, and tracking trends to help identify systemic issues. The individual will need to maintain deep knowledge of WM systems related to client and account information and CAT reporting.
What will you do?
Manage the daily FINRA CAIS/CAT rejects using the CAT Reject Management database to ensure compliance with T+3 deadline for resolution on each reject. This includes researching, resolving, and distributing rejects to C&C and PCG partners.
Manage the daily Material Inconsistencies reported by FINRA, distribute to the C&C and PCG partners to resolve, and report responses back to Reg Ops
Run and analyze reports to uncover trends and systemic issues to reduce future CAIS/CAT data issues and ensure adherence to all regulatory and firm policy requirements.
Act as CAIS/CAT subject matter expert for individuals requiring research, problem resolution, or guidance.
Reduce risk and increase efficiencies by suggesting process changes and system modifications.
Participate in testing and implementation of new systems and processes as required.
Train and act as a resource for less experienced Operation's team members.
What do you need to succeed?
Must-have
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
Ability to handle multiple priorities in a fast paced and deadline driven environment
Ability to work independently and within a team environment
Strong attention to detail and privacy/confidentiality;
Strong interpersonal, verbal and written communication skills, with an ability to work effectively with all levels of staff and management
Strong problem identification, analytical and resolution skills
Proficient computer skills in Windows-based software products including Word, Excel and Outlook
Nice-to-have
4-year degree from an accredited university in business, finance or related field
2+ years credit operations, project management, analysis and/or risk control experience
Securities license 7 or 99
Experience with brokerage systems
Sound organizational knowledge with operational mindset; including products, processes, systems and regulatory and/or client needs
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
Flexible work/life balance options
Opportunities to do challenging work
Opportunities to take on progressively greater accountabilities
Access to a variety of job opportunities across business
Job Skills
Adaptability, Critical Thinking, Interpersonal Relationship Management, Process Improvements, Time Management
Additional Job Details
Address:
250 NICOLLET MALL:MINNEAPOLIS
City:
Minneapolis
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
Wealth Management
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2024-05-08
Application Deadline:
2024-05-22
Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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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 .
RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status or any other legally-protected factors.
Refer to ID 79407061 when applying |
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