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Securities Licensing Specialist

3 months ago

TORONTO, Canada Royal Bank of Canada Full time

Job Summary

Performs quality and/or compliance audits to identify and address opportunities for improvement. Applies basic theories, skills, and practices to accomplish assignments.

Job Description

What is the opportunity?

Responsible for handling all aspects of securities, commodities, NFA, Municipal Advisor and investment advisor registration respective to individuals associated with the US broker-dealers under RBC and affiliates.  This position covers the US broker-dealer across all business lines.

What will you do?

  • Prepare and submit all initial applications for individual securities, investment advisor, NFA, municipal advisor and commodities licenses and ensure that all employees are appropriately licensed to conduct their job responsibilities

  • Coordinate the submission of securities and commodity futures registration application filings, branch and entity registration forms, and termination submissions

  • Process pre-hire checks for all potential new hires in the U.S. and transfer all licenses for registered employees who join RBC and its affiliates from other firms

  • Work with Compliance Officers to amend employee licensing records with respect to customer complaints, arbitrations, litigations, internal reviews/investigations, bankruptcies, liens, judgements, garnishments, regulatory, criminal events, name changes, addresses changes and outside business activities

  • Communicate with FINRA, NFA and the various state regulators to follow-up on licensing inquiries

  • Administer, research and correct licensing deficiencies including NRF forms, NFA 8R amendments, U5 filings, Form U4

  • Maintain and reconcile the various registration databases and prepare registration reports as needed

  • Keep informed of changes in registration requirements and implement new procedures accordingly; communicate licensing policies and procedures to employees

What do you need to succeed?

Must-have

  • Experience working in administrative role while having developed strong interpersonal skills, ability to multi-task, problem solving and attention to detail

  • Experience in environment where discretion is needed along with meeting concurrent deadlines

  • Customer service oriented and able to maintain a high degree of professionalism

  • Working knowledge of MS Office (Word, Microsoft, Excel and Powerpoint)

  • Highly organized and results oriented

Nice-to-have

  • Bachelorâs Degree  and/or experience in Finance, Accounting, Law, Business Administration, Risk Management, or related disciplines

  • Experience in the FINRA and NFA Registration and Licensing Function

  • Working knowledge of FINRA Gateway, Form ADV, MSRB/Edgar, Winjammer and NFA ORS. 

Whatâs in it for you?

We thrive on the challenge to be our best, thinking progressively to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

  • A comprehensive Total Rewards Program including bonuses and flexible benefits

  • Leaders who support your development through coaching and managing opportunities

  • Ability to make a difference and lasting impact

  • Work in an agile, collaborative, progressive, and high-performing team

  • The opportunity to interface with executives from many different parts of the organization

Job Skills

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

Law and Compliance

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-06-26

Application Deadline:

2024-08-23

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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