Registrations Officer

2 weeks ago

Vancouver, Canada Raymond James Financial Full time

**Registrations Officer**
- 2204527

**Registrations Officer**

**Description - External**

**Job Summary**

Raymond James Ltd. is seeking a Registrations Officer to join our team at our Vancouver, Toronto, or Montreal locations.

Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Reporting to the Manager, Registrations, you will be primarily responsible for processing Canadian and US individual and firm registrations, Continuing Education for Canadian registration and Canadian Insurance licensing. Onboarding new advisors and registrants, along with updating current registrations will allow for exposure with registrants and leaders within the firm.

The regulatory environment in Canada is robust and ever evolving. As a Registrations Officer, you will be required to fulfill the following:
**Essential Duties and Responsibilities**:

- Liaise with internal associates and Regulatory bodies, both verbally and in writing, and respond to ad-hoc queries;
- Keep abreast of industry changes and requirements for registrations and Continuing Education;
- Process registrations and updates electronically (on NRD and CRD) and in writing, while maintaining various in-house records;
- Maintain records for Continuing Education (CE);
- NRD reconciliations;
- Ad-hoc registrations and Compliance related projects; and
- Other duties as assigned.

**Qualifications - External**

**Knowledge in**:

- MS Office, with a preference in Excel and Access is an asset.

**Skill in**:

- Possess compliance or related branch/operations experience within the securities industry;
- Be proficient with MS Office (focusing on Word, Excel and Outlook);
- Have superior oral and written communication skills;
- Have a well-developed and proven customer service and interpersonal skills;
- Be a strong multi-tasker and have the ability to work under pressure;
- Perform well independently and with a team;
- Willingness to learn as the registrations program develops; and
- Bilingual (French and English) is an asset.

**Ability to**:

- Meet stringent regulatory deadlines;
- Identify inefficiencies and address accordingly;
- Analyze and make sound judgment decisions; and
- Maintain a high level of customer service.
- **Education/ Previous Experience Required**:

- Registration and/or Compliance experience preferable; and
- A minimum of two (2) years of financial industry or related administrative experience.
- **For an eligible associate, we offer**:

- Competitive Wages
- Health Benefits Program including Life Insurance and Disability from start date
- RRSP Matching Program from start date
- Employee Stock Purchase Plan
- Paid Time Off & Other Time Off such as Volunteer Day
- Discretionary Bonuses
- Approved Tuition Reimbursement Program
- Top Up Plan
- Employee Investment Accounts
- Flexible Work Styles
- This is a permanent full-time position with a competitive compensation and benefits package.

**Job** Compliance

**Primary Location** CA-BC-Vancouver-Vancouver

**Organization** Registrations

**Schedule** Full-time

**Status** Permanent Full-Time

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