Registrations Officer

3 weeks ago

Toronto, Canada Aviso Wealth Full time

**Aviso Wealth**:
**The Opportunity**:
We’re looking for a Registrations Officer to join our Registrations team.
This can be a remote role, however for those who would like to come into the office we are at 151 Yonge St, Toronto, ON.

Reporting to the Manager, Registrations the Registrations Officer is responsible for all aspects of registration, licensing and E&O insurance with the various provincial securities commissions, provincial insurance councils, self-regulatory organizations (SROs) and E&O provider for all of the lines of business at Aviso Wealth. In addition, this position is responsible for maintaining current databases and records related to registrations/licensing, developing and communicating registration/licensing requirements and procedures throughout Aviso Wealth Inc. and responding to specific inquiries and issues.

**Who you are**:

- **Service** - You consider both internal and external stakeholders and demonstrate intent of understanding and putting the clients’ needs first. You advocate service excellence and work to deliver solutions that meet the needs. You proactively develop strategic partnerships that allow Aviso Wealth to become a trusted advisor and partner
- **Execution** - You are committed to achieving your goals and to succeed. This includes focusing on “getting things done”, as well as recognizing and taking advantage of opportunities as they arise. You are consistently looking for ways to improve your personal best and see value in continuous improvement. You take accountability for your actions and learn from mistakes
- **Collaboration** - You work collaboratively with others with the common goal of driving positive results. Making meaningful contributions to your team to achieve organizational goals is a priority. You proactively encourage collaboration, build trust and inclusion, and work to establish effective relationships both inside and outside of the organization

**What your day looks like**:

- Process registration forms and related materials with respect to licensing, material changes, and terminations, through the National Registration Database (NRD) and insurance councils for Aviso’s dealing representatives, supervisors, branch managers, portfolio managers, executives, permitted individuals, branches and sub-branches
- Track registrants and licensees to ensure all required educational and proficiency requirements are satisfied and individuals comply with the Securities/Insurance Act and SRO restrictions for the relevant categories of registration as well as track other licenses, designations, and outside activities
- Liaise with Aviso staff, Registrations personnel, provincial regulators, E&O provider and Credit Unions on registration related matters, to obtain information and materials related to registrations and E&O, to ensure compliance with regulatory requirements, and to co-ordinate advisor onboarding and offboarding processes
- Respond to financial institution registration and E&O related inquiries and requests from the regulators and from within Aviso and conduct relevant research as required and provide resolutions for any outstanding registration issues and deficiencies
- Maintain current databases (i.e. CLRS, Univeris, Supervision INSIGHTS, NRD, WIP spreadsheet, Advisor Listing spreadsheet) with applicable registration and related information
- Stay current on regulatory registration/licensing requirements and legislative changes affecting the financial industry
- Provide assistance and feedback to the compliance team with the delivery of registration/licensing/E&O policies and procedures and with forms and document templates which affect Aviso registrations and licensing
- Respond to MFDA, IIROC and Insurance accounting inquiries and reconcile registration fees
- Tracking of all QA and QAM New Advisor/Rep Supervision

**Requirements**:
**Your experience and skills**:

- Successful completion of CSC or IFIC (preferably CSC) and CPH within 1 year of joining Aviso
- Two years’ experience in investment/banking/mutual fund/insurance dealer and/or securities/insurance regulator
- Experience in operating within the Credit Union System is an asset
- Extremely detailed oriented with strong organizational, time management and analytical skills
- Proficient in completing accurate, clear and concise documentation
- Ability to work independently with minimum supervision and a high degree of personal initiative
- Ability to deal with stressful situations in a diplomatic fashion
- Excellent analytical skills with the ability to reconcile complex data from different sources
- Fluent communication skills in English are required and bilingual skills in French are an asset

**Benefits**

**Why Aviso Wealth?**

At Aviso Wealth, you will find a dynamic and inclusive culture that rewards innovation and celebrates success.
Here are a few things that set us apart:

- Competitive compensation package that rewards and recognizes individual contributions
- Exce

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