Registration Officer - Securities & Regulatory
On behalf of our client in the Banking Sector, PROCOM is looking for a Registration Officer - Securities & Regulatory.
Registration Officer - Securities & Regulatory Job Description
Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge
The Registration Officer is responsible for the Securities and Insurance registration process, performing all day-to-day registration functions
Providing guidance and counsel to employees and branches on regulatory and licensing matters in accordance with department policy and procedures and regulatory requirements
Manage the securities renewals process which includes registrants, branch and firm with the applicable provinces, territories and states
Maintain communication and determine matters which require further escalation to the management for advice and direction
Responsible for updating all applicable Registration databases, including the National Registration Database, Active Community and Centralize
Build and maintain relationships with all regulatory bodies including provincial and US securities regulators. Keep abreast of regulatory changes and / or SRO requirements
Execute various administrative functions to maintain the operation of the department
Provide reporting and feedback to the Manager, Registration on licensed personnel and any correspondence with Regulators, compliance departments, branches or individuals.
Identify any areas of deficiencies in the registration process to management
Participate in SRD projects and other duties as assigned
Understand how the Banks' risk appetite and risk culture should be considered in day-to-day activities and decisions
Actively pursues effective and efficient operations of their respective areas in accordance with banks Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML / ATF / sanctions and conduct risk
Champions a high-performance environment and contributes to an inclusive work environment
Registration Officer - Securities & Regulatory Mandatory Skills
Relevant working knowledge of Canadian and US Regulatory policies and rules
Strong written and verbal communication skills - 2+ years
Strong analytical and problem-solving skills and multi-tasking skills required - 2+ years
Post-secondary education (Business - but not limited to)
Registration Officer - Securities & Regulatory - Nice to Have Skills
Strong knowledge of National Instrument 33-103 and 33-109 and related companion
Previous experience in Financial Industry or related field
Registration Officer - Securities & Regulatory - Assignment Start Date
ASAP 6 months to start
Registration Officer - Securities & Regulatory - Assignment Location
Toronto, ON Work Hybrid
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