Senior Registration Officer
$60k - $90k per yearHaywood Securities Inc.
About the position
Haywood Securities Inc. is seeking a Senior Registration Officer to join our team in either our Vancouver or Toronto offices. Reporting to the VP, Compliance, you will be primarily responsible in assisting with the processing of Canadian and US individual registrations and other regulatory licensing requirements. The candidate will have exposure to advisors and management at different levels.
Responsibilities
Registration
- Responsible for the timely execution and maintenance of all Firm and Staff registration requirements (CIRO, Provincial submissions and certain FINRA or State reporting requirements). Seek supervisory approval from CCO or CEO for registration filings as required.
- Timely escalation of registration related concerns to VP Compliance, the CCO or the CEO as required.
- Support the design and implementation of registration workflows and controls, and the structure and maintenance of registration related books and records system.
- Support the design and implementation of the annual registration renew process.
- Address all staff registration related inquiries, provide direction or guidance as necessary or elevate query to CCO or CEO if necessary.
- Engagement with regulatory agencies to retain the breadth of knowledge necessary to understand industry registration best practices, regulatory developments and further registration submissions & registration exemption requests.
Regulatory Proficiency
- Administering, recording / tracking of regulatory training and exam requirements and maintenance of training related books & records (e.g., Knopman, CSI, CIRO Fitch, and FINRA).
- Effective notification of registered staff of pending regulatory training requirements, and monitoring of incomplete training which require regulatory filings, actions or internal restrictions.
- Coordinate mandatory training administration (e.g., Conduct Training), assist with new registrant and on-boarding Firm training and tracking, collect applicable attestations and questionnaires.
- Execution and tracking of registered Staff annual confirmations and attestations for both HSI and HUSA.
- Support the administration of Continuing Education requirements (e.g., RegEd FINRA Firm Element and ACM training requirements).
Requirements
- 5 - 6 years industry experience, with 2-3 years of registration (NRD and/or CRD) experience required; managerial experience an asset
- Strong and effective communication skills and customer service skills; ability to effectively interact with a variety of personality types
- Ability to maintain a high level of cognitive awareness of his/her surroundings in a fast paced/multi-task environment
- Completion of the Canadian Securities Course or Conduct & Practices handbook is a benefit
- Strong attention to detail, time management, and problem solving skills
- Strong knowledge of spreadsheets and database navigation
- Experience with training and/or an LMS is a benefit
Job Details
Status: Permanent full-time
Location: Vancouver / Toronto
Compensation: the expected salary range for this role is: $60,000.00 - $90,000.00
Vacancy: This is a replacement for an existing position
NOC Code: 11109 – Other Financial Officers
Benefits
We offer competitive salaries as well as opportunities for professional and personal development. We also offer a full suite of competitive benefits which includes extended health, dental, long-term disability, life insurance and accidental death and dismemberment coverage.
#J-18808-LjbffrVacancy posted 8 days ago
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