Director, Broker Dealer Controller

Opportunity Overview

The U.S. broker‑dealer controller will lead the teams responsible for all day‑to‑day general accounting matters for the U.S. Broker Dealers (RBC Capital Markets LLC and RBC CMA Ltd.). This includes month‑, quarter‑ and year‑end close processes, general ledger administration, reconciliation and financial analysis/reporting. The role serves as a liaison with external auditors and key regulatory contacts (SEC, FINRA, CFTC, NFA) and enhances and oversees a strong internal control environment.

The controller will drive collaboration, communication and innovation across the department, support enterprise‑wide initiatives, and ensure proper adherence to US GAAP/IFRS accounting and SEC/FINRA regulatory reporting requirements.

• Lead and provide oversight of all month‑end close and financial reporting processes, ensuring accuracy, timeliness and adherence to US GAAP, IFRS and regulatory standards for the U.S. Broker Dealer and other affiliated entities.
• Lead and oversee the multi‑locational team responsible for accounting functions for the U.S. Broker Dealers and other affiliated entities.
• Ensure revenue, expense and balance sheet balances are accurately reflected according to US GAAP and IFRS standards.
• Maintain a strong partnership with all Head Office Financial Control functions to support a high volume of reporting, control and disclosure requirements.
• Serve as the principal liaison with regulators (FINRA, SEC, CFTC, NFA), external auditors and RBC’s internal audit function, ensuring transparency and timely resolution of audit inquiries.
• Key point of contact for all internal and external audit relationships for the Broker Dealers and responsible for all aspects of the annual external audit; ensure timely close of all outstanding audit points.
• Continuously enhance a strong internal control environment and governance framework for the U.S. Broker Dealers and other affiliated entities, ensuring robust controls and effective execution across all processes and audit readiness.
• Oversee compliance with policies, procedures and reporting requirements for RBC’s U.S. broker‑dealers: RBC Capital Markets LLC and RBC CMA Ltd.
• Provide subject‑matter expert guidance to all platforms in structuring complex transactions and new product initiatives, partnering with key functional groups (Legal, Operations, Compliance, Tax, Product Control and Accounting Policies).
• Lead impact assessment and implementation of new accounting pronouncements, aligning stakeholders to ensure consistent application across U.S. business platforms.
• Communicate financial results and regulatory calculations to senior members in a clear and concise manner; provide interpretation and guidance to senior management.
• Drive finance transformation initiatives to integrate finance ERP systems, automation, analytics and optimize the finance operating model and processes.
• Drive efficiency through AI initiatives and collaboration across the organization.
• Drive performance and accountability with responsibility for setting clear, bold, ambitious team and individual goals that align to organizational priorities, including simplifying work and removing barriers.
• Ensure that employees understand RBC’s purpose, values and behaviors that elevate the team’s collective performance with measurable outcomes.
• Promote a safe, inclusive and accessible environment that fosters belonging, trust and well‑being.
• Understand and exemplify RBC leadership behaviors, taking ownership to drive growth, acting with a global mindset and making decisions that serve the full breadth of RBC.
• Contribute to an exceptional employee experience through strong people‑leadership practices that invest in potential, give honest feedback and remove barriers to performance.

• Minimum 10 years’ experience within a financial services/broker dealer environment and comprehensive understanding of financial products across Capital Markets, Wealth Management and Retail Banking.
• CPA and Series 27 preferred; advanced degree in Accounting, Finance or Business a plus.
• In-depth experience and knowledge of all IFRS and GAAP accounting…