Registration Officer

4 days ago

Toronto, Ontario, Canada Scotiabank Full time

Seeking a Registration Officer to contribute to the success of the Registration Department in Canada, ensuring individual goals and business strategies are executed in compliance with regulations and internal policies.

Job Title: Registration Officer

About the Role:

  • Champion a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
  • Responsible for the Securities and Insurance registration process, performing day-to-day registration functions, and providing guidance and counsel to employees and branches on regulatory and licensing matters.
  • Manage the securities renewals process, maintaining communication and determining matters that require further escalation to management.
  • Update Registration databases, including the National Registration Database, Active Community, and Centralize.
  • Build and maintain relationships with regulatory bodies, including provincial and US securities regulators, and stay up-to-date on regulatory changes and SRO requirements.
  • Execute administrative functions to maintain department operations, provide reporting and feedback, and identify areas of deficiency in the registration process.
  • 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 pursue effective and efficient operations in accordance with Scotiabank's Values, Code of Conduct, and Global Sales Principles.
  • Champion a high-performance environment and contribute to an inclusive work environment.

Requirements:

  • University degree (Business) or College certificate.
  • 3-5 years of work experience in the financial services industry.
  • Relevant working knowledge of Canadian and US Regulatory policies and rules.
  • Strong written and verbal communication skills in English.
  • Strong analytical and problem-solving skills and multi-tasking skills.
  • Strong knowledge of National Instrument and related companion.

What We Offer:

  • A rewarding career path with diverse opportunities for professional development.
  • A culture that promotes teamwork and cross-functional collaboration to achieve business goals.
  • An inclusive workplace that values diversity of thought, background, and experience.
  • An organization committed to making a difference in our communities.
  • A hybrid working environment allowing for work/life balance.

About Scotiabank:

Scotiabank is a leading bank in the Americas, guided by our purpose: "for every future". We help our customers, their families, and their communities achieve success through a broad range of advice, products, and services.

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