Registration Officer
Accountabilities
• 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 Bank’s 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 our Values, 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.
Must Have Skills/Requirement:
• 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
Nice-to-Haves:
• Strong knowledge of National Instrument 33-103 and 33-109 and related companion
• Previous experience in Financial Industry or related field
Education:
• Post-secondary education (Business – but not limited to)