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Securities Registration Specialist

2 months ago

Toronto, Ontario, Canada CB Canada Full time
{"title": "Registration Officer - Securities & Regulatory", "description": "Job Summary

CB Canada is seeking a highly skilled Registration Officer - Securities & Regulatory to join our team. As a key member of our Securities & Regulatory department, you will be responsible for championing a customer-focused culture, providing guidance and counsel to employees and branches on regulatory and licensing matters, and managing the securities renewals process.

Key Responsibilities
  • Champion a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
  • Provide guidance and counsel to employees and branches on regulatory and licensing matters in accordance with department policy and procedures and regulatory requirements.
  • Manage the securities renewals process, including registrants, branch, and firm with applicable provinces, territories, and states.
  • Maintain communication and determine matters that require further escalation to management for advice and direction.
  • Responsible for updating all applicable Registration databases, including the National Registration Database, Active Community, and Centralize.
  • Build and maintain relationships with all regulatory bodies, including provincial and US securities regulators. Keep abreast of regulatory changes and/or SRO requirements.
  • Execute various administrative functions to maintain the operation of the department.
  • Provide reporting and feedback to the Manager, Registration on licensed personnel and any correspondence with regulators, compliance departments, branches, or individuals. Identify any areas of deficiencies in the registration process to management.
  • 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 of their respective areas in accordance with Bank's Values, its Code of Conduct, and the Global Sales Principles, while ensuring the adequacy, adherence to, and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions, and conduct risk.
  • Champion a high-performance environment and contribute to an inclusive work environment.
Requirements
  • Relevant working knowledge of Canadian and US Regulatory policies and rules.
  • Strong written and verbal communication skills - 2+ years.
  • Strong analytical and problem-solving skills and multi-tasking skills required - 2+ years.
  • Post-secondary education (Business - but not limited to).
Preferred Skills
  • Strong knowledge of National Instrument and related companion.
  • Previous experience in Financial Industry or related field.
Work Arrangement

Work Hybrid

Toronto, ON

", "lang_code": "en-US"}