Registration Officer

4 days ago

North York, Canada CST Savings Full time

Position: Registration Officer

Company: CST Savings Inc.

Industry: Financial Services

Reports to: Manager, Compliance

Location: Flexible Work Arrangements Available

Application Deadline: November 29, 2024


Role Summary:


The Registration Officer is a member of the CST Savings Compliance Team supporting registrations for CST Savings and CST Spark. Working alongside the Senior Registration Officer, the Registration Officer will manage the registration process for sales representatives in various branches. This includes assisting in the evaluation and filing of registration applications to ensure that regulatory requirements of proficiency, solvency, integrity, experience, and conflicts of interest are met. In addition, the Registration Officer will also support the Compliance Officers in carrying out compliance supervision duties.


What you will be doing:


Administration of Registration (70%)

  • Review and process applications for initial registration, registration transfers, terminations, and reinstatements in accordance with securities regulators’ standards including pre-screening, proficiency registration, conflicts of interest disclosure and management, preparation of the National Registration Database (NRD) application and collection of administrative documentation.
  • Perform background and credit checks on applicants to reasonably ensure all outside activities and conflict of interests have been declared.
  • Monitor the completion of all proficiency requirements established by the Canadian Securities Administrators, CST Savings and CST Spark before submitting any applicants for registration.
  • Liaise with the Compliance Officers to resolve registration or documentation issues.
  • Provide recommendations with supporting rationale for approval/denial of registration to the Compliance Officers.
  • File month-end reports of NRD submission fees with Finance and provide updated information to Commissions function (Finance).
  • Maintain current dealing representative databases (back-office system, NRD) and registrant records and prepare the Registration Tracking Reports.
  • Assess employment and outside activity change requests for conflict of interest, prepare and submit material changes to registrants’ NRD records.
  • Review and file renewals for sales representative licenses with the regulatory bodies across Canada. Support Finance Department through processing license renewal and NRD annual user fees to ensure collection from branches.
  • Prepare and submit the annual dealer/investment fund manager/portfolio manager registration renewal.
  • Identify areas for process improvement and efficiency enhancements to the registration process, including the implementation of online processes for registration.
  • Provide information, respond to regulatory inquiries and address concerns related to registration matters.


Compliance Monitoring (30%)

  • Assist in the tracking of the status of undertakings given to regulatory authorities.
  • Monitor changes to securities regulations and NRD policy changes re: registration and recommend updates to the policies and procedures outlined in the Registration Manual and Compliance Policy Manual.
  • Based upon CST registration policy changes, prepare training bulletins and/or update training materials.
  • Ensure the Monthly Suppression of Terrorism and UN Sanctions Reports are completed and submitted to the OSC on a timely basis.
  • Monitor receipt of reports from the branches such as the Branch Managers Monthly Reports and those related to the reporting requirements for sales representatives and/or branches under terms and conditions. Request that the Branch Managers remedy any deficiencies in their reporting.
  • Provide preparatory support and assistance to the Compliance Officers in the conducting of branch audits and deficiency remediation programs, including but not limited to running blotters. termination reports and registration reports and conducting internet searches.
  • Run various Compliance monitoring reports and assist with the analysis as requested by Compliance Officers.


What you bring:


  • Post-secondary education.
  • Two to five years registration experience within the securities industry, either at a dealer/investment fund manager as an Authorized Firm Representative, another self-regulatory organization and/or securities commission.
  • Knowledge of the Canadian Securities Administrators’ National Instruments related to registration and compliance matters (NI 33-109 and NI 33-103).
  • Strong analytical and problem-solving skills with attention to detail.
  • Highly organized and able to multi-task.
  • Effective written and oral communication.
  • Ability to deal with confidential information in a sensitive manner.
  • Ability to work independently and as a team member.


What’s In It for You:


  • Competitive base salary with performance bonuses.
  • Join a growing, innovative company recognized as an industry leader.
  • Comprehensive training and ongoing coaching.
  • Leadership committed to a diverse and inclusive culture.
  • Flexible work arrangements.
  • Company-paid benefits starting on your first day.
  • Group pension plan with company matching contributions.
  • Generous vacation package plus additional paid days off.
  • Education reimbursement for continuous learning.
  • Team celebration events and wellness programs.
  • Employee and Family Assistance Program, recognition programs, and more


About CST:


We’re the creators of Education Savings Plans in Canada. Our founders pioneered a movement to create and deliver solutions to make higher education accessible for all. Over 60 years later, our dedication to our mission is stronger than ever:


  • Almost 700,000 families have saved with CST
  • Almost 900,000+ students helped
  • $4.8 billion+ in total assets
  • $4 billion+ paid to Canadian families


Through our expert guidance and powerful investment options, we help Canadian’s invest in our children’s future with Registered Education Savings Plans (RESPs). With big dreams, anything is possible


CST Spark is the latest chapter from the ongoing story of innovative education savings. Today, we continue to inspire and revolutionize education savings with CST Spark– the simple, modern RESP that combines top investment expertise with the latest technology. For additional information, please visit www.cst.org & www.cstspark.ca.


Come grow with us


To apply please email your resume to: careers@cst.org

*On your email subject line please insert: Registration Officer


CST is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. CST sincerely thanks all applicants for their expressed interest in this opportunity; however, only those selected for an interview will be contacted. Accommodations are available upon request for candidates taking part in all aspects of the hiring process. Applicants need to make their requirements known when contacted. To request accommodation, please contact HR at careers@cst.org. Thank you for interest in a career at CST.

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