Senior Registration Officer

Job Description

The Senior Registration Officer is responsible for providing superior client service in order to ensure the business revenues and operations are not impacted by filing requests for registration within the established service levels. This includes ensuring applications for registration are filed in accordance with the regulatory requirements and investigating deficiencies raised by regulators about registration applications pending with the applicable regulators.

They are also responsible for providing detailed advice to the business regarding registration requirements, both corporate and individual, in all provinces and territories. THIS IS A ONE YEAR CONTRACT ROLE.

• Develop and maintain an in-depth knowledge of regulatory and compliance policies and guidelines as it relates to individuals and firm
• Responsible for analyzing all registration applications requiring approval by the various regulatory bodies. This includes new applications, exemptions from registration requirements, changes in registration category and changes in branch supervision.
• Responsible for reporting of approvals, suspensions and deficiencies to the business unit supervisors and the individual registrants.
• Monitoring branch activity to ensure licensing reflects regulatory requirements, including communicating with Compliance any supervisory deficiencies.
• Accountable for updating and maintaining firm and branch registrations as needed with the various applicable regulators by ensuring the requirements specified in the applicable legislation in each province and/or territory are being met.
• Accountable for responding to detailed written and telephone inquiries from regulators, registrants and other internal staff.
• Maintain accurate files in the internal and external databases. Ensure up to date documents are filed on a timely basis.
• Responsible for the data integrity that is entered into various databases. Ensure all areas/information that require updating are always done.

Must have

• Post-Secondary education (University Degree or College Diploma).
• Minimum 3 years of financial industry experience, preferably in registration, either at a dealer member, another self-regulatory organization, securities commission or relevant experience where strong analysis and synthesis capacity were acquired.
• Deadline-driven and results-oriented; able to meet consistently high-quality standards while handling a variety of tasks and deadlines simultaneously. Ability to work in fast-paced high-volume environments.
• Detail oriented with strong analytical, research, organizational and problem-solving skills.
• Strong written and verbal communication skills.

• Completion of exams or courses in the financial industry.
• Proficient on the National Registration Database.
• French is an asset.

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, 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
• Opportunities to do challenging work

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Address: RBC CENTRE, 155 WELLINGTON ST W:

TORONTO

City: Toronto

Country: Canada

Work hours/week: 37.5

Employment Type: Full time

Platform: CHIEF LEGAL & ADMIN OFFICE GRP

Job Type: Contract (Fixed Term)

Pay Type: Salaried

Posted Date:

Final date to receive applications:

Note: Applications will be accepted until 11:59 PM on the day prior to the Final date to receive applications date…