Registrations Administrator

Job Responsibility:

WHO WE ARE Anchored in our purpose to help clients achieve their financial goals, Odlum Brown has remained an independent, full-service investment firm for over 100 years. Wholly owned by its team members, the firm continues its tradition of leadership in the financial community as one of BC's most respected investment firms.

We are honoured to be nationally recognized as one of Canada's Best Managed Companies and one of Canada's Most AdmiredTM Corporate Cultures, and to share the achievement of a century in business with our valued team members, clients and communities.

CULTURE AND VALUES Guided by a set of timeless core values - Clients First, People, Accountability, Independence, Integrity and Community - we are very proud of the vibrant, ever-evolving culture that we have built over the years. These values are the cornerstone of our culture and the principles that provide a compass for our actions and unify us as a team.

PEOPLE We have skiers, mountain bikers, hockey players, runners, volleyball players, movie buffs, bookworms, animal lovers, musicians, yogis, world travelers - all with diverse backgrounds and experiences to share from around the globe. You will work with really interesting people and make great friends, too.

COMMUNITY We are serious about supporting the communities where we live and work. A recipient of a Canada's Volunteer Award from the Government of Canada, we are committed in heart and mind to everything we do in the community, and we work hard to inspire passion and fun while doing it.

PROFESSIONAL DEVELOPMENT Continuous learning matters. We are committed to providing career-long support for learning and growth.

THE OPPORTUNITY We have an opportunity for a Registrations Administrator to join our award-winning firm in the Vancouver office.

WHAT YOU'LL DO This role reports to the Chief Compliance Officer and works closely with Compliance Officers, Investment Advisors, Investment Assistants and other departments within our Client Services operations.

As a Registrations Administrator, you are responsible for obtaining and maintaining securities registrations and ensuring compliance rules and regulations are met. Your key accountability will be to manage and maintain all aspects of registration and licensing with various regulatory bodies, including the Canadian Investment Regulatory Organization (CIRO), provincial Securities Commissions and U.S. Securities Regulators (FINRA and the SEC).

RESPONSIBILITIES • Facilitate, coordinate and support the transfer and onboarding of new hires

• Conduct securities registration checks for new team members
• Administration of continuing education credits
• Liaise with registrants and regulators on registrations, licensing, continuing education and compliance

• Provide guidance to registrants on registration and regulatory issues
• Process annual firm, registrant and branch securities registration renewals
• Reconcile and verify all registration fees withdrawn annually
• Develop and generate new and existing reports
• Execute regulatory disclosures and material changes to registrant's records relating to outside activities,

legal, criminal and financial issues within defined timelines

• Keep abreast of industry changes and requirements for registrations and continuing education
• Develop recommendations and solutions for continuous improvement to procedures and policies
• Collaborate with other departments on a daily basis
• Participate in various projects and initiatives contributing to the firm

KNOWLEDGE AND EXPERIENCE • 2-3 years of related industry or administrative experience in financial services or banking

• Understanding of legal documentation is an asset, with compliance or registrations experience preferred
• Strong attention to detail with the ability to manage numerous filings independently
• Strong MS Office skills (Word, Excel and Outlook)
• Ability to establish and maintain strong working relationships with internal and external stakeholders
• Excellent verbal and written communication skills
• Superior time-management, multi-tasking and organizational skills with an ability to work towards set

deadlines

• Experience with National Registration Database and Broadridge Dataphile platforms is an asset
• Completion of Canadian Securities Course, Conduct and Practices Handbook Course or other investment-

related courses is an asset

WHAT WE OFFER A culture of openness, collaboration and respect is foundational to our firm. We are a diverse, driven group of individuals who genuinely care about one another and encourage and appreciate each other's contributions. We believe in rewarding team members and do this by providing a competitive total rewards package that is fair and equitable; mentorship programs; flexible work options; and a variety of professional development opportunities to expand your career. This role has an expected salary of $52,000 - $58,000/year, plus the potential for bonuses.

Our team is growing, and we've got room for one more if you're interested. If this sounds like the environment you'd like to work in and you have the credentials and experience for this role, we invite you to submit a cover letter and resume to View email address on ca.edajobs.com by August 16, 2024 .

Candidates must be legally eligible to work in Canada. Full disclosure of any restrictions must be disclosed at the time of expressing interest and supporting evidence provided prior to any potential offer of employment.

We appreciate your interest and thank you for taking the time to consider this opportunity. We will be in touch with individuals whose profiles most closely match what's needed to be successful in this role.