Licensing and Registration Officer

Process all business location changes, including branch office openings, closings, and changes in branch office supervision.

Ensure Corporate and Firm renewals including extra-provincial, Canada, and U.S. renewals are filed in a timely manner and that files are updated accordingly.

Maintain data integrity and ensure it is entered into various databases within acceptable timeframes.

Ensure that all supporting documents are properly placed in the appropriate folders to comply with internal firm policies as well as regulatory requirements, as outlined in the company document retention policy.

Assist with the reconciliations and allocate the NRD fees and penalties to the branches.

Respond to detailed written and verbal inquiries from regulators, registrants, and internal staff in an accurate and professional manner, within acceptable timeframes.

Maintain supporting documents on file for audit purposes.

Provide regulatory licensing guidance to registrants in regard to new applications, change of status, other material changes, Errors & Omissions (E&O) renewals, and terminations.

Provide detailed registration advice to the business and respond to registration inquiries, both corporate and individual.

Develop and maintain an in-depth knowledge of regulatory and compliance policies and guidelines and provide the relevant information updates to registrants regarding procedural and regulatory changes.

Ensure that the firm and all its supervisors, officers, directors, salespersons, and branches are properly licensed with the appropriate securities commissions and regulatory bodies.

Prepare and submit registration applications, amendments, and notices with the appropriate regulatory bodies.

Ensure all the licensing/registration information is accurate and current, and that the database matches the information on the regulatory permanent record of the firm and its registrants on the NRD, FINRA CRD, and IAPD.

Ensure that all registrants are properly licensed with appropriate regulator(s) in a timely manner based on Service Level Agreements (SLAs).

Responsible for ensuring applications are filed in accordance with regulatory requirements for all security applications, reactivations, and reinstatements of registration, changes in registration categories, change in status, renewals, and terminations.

Contribute to the development of policies and procedures within the Securities Registration Compliance team by reviewing and updating the registration procedure manuals to ensure practices and standards are in line with the national rules, regulations, and policies.

Act as a liaison with Business Development on matters that relate to individual and the firm registrations.

Establish and maintain relationships with internal departments and regulators.

Provide superior client service to ensure the business revenues and operations are not impacted by filing requests for registration within the established service levels.

Perform ad hoc assignments as needed. For example, assistance may be required relating to a regulatory request, report, or audit.

Securities Registration, Compliance

Minimum of 2 years of experience in dealer back-office operations, with 3-5 years of industry experience. Strong understanding of CIRO/FINRA dealer business and comprehensive knowledge of securities and insurance industry regulations.

Bachelor’s degree in accounting, legal, finance, business, or related fields. Industry certification is preferred.