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Securities Registration Specialist

3 months ago

Toronto, Ontario, Canada CB Canada Full time

Securities Registration Specialist - Job Overview

CB Canada is seeking a dedicated Securities Registration Specialist to oversee the registration processes within the Banking Sector.

Key Responsibilities

  • Foster a client-centric approach to enhance relationships and utilize broader organizational knowledge.
  • Manage the Securities and Insurance registration workflow, ensuring all daily operations are executed efficiently.
  • Offer expert guidance to team members and branches regarding regulatory and licensing issues, adhering to departmental policies and compliance standards.
  • Oversee the renewal process for securities, coordinating with registrants and branches across various jurisdictions.
  • Maintain open lines of communication, identifying issues that necessitate escalation to management for further insight.
  • Update and manage all relevant registration databases, including the National Registration Database and other centralized systems.
  • Cultivate and sustain relationships with regulatory authorities, staying informed about changes in regulations and self-regulatory organization (SRO) requirements.
  • Execute administrative tasks essential for the smooth operation of the department.
  • Provide comprehensive reports and feedback to the Registration Manager regarding licensed personnel and interactions with regulators, compliance teams, and branches. Highlight any deficiencies in the registration process.
  • Engage in special projects and additional responsibilities as assigned.
  • Recognize the importance of the organization's risk appetite and culture in daily operations and decision-making.
  • Strive for operational efficiency while adhering to the organization's values, code of conduct, and global sales principles, ensuring compliance with operational, regulatory, and conduct risk standards.
  • Promote a high-performance culture and contribute to an inclusive workplace environment.

Essential Qualifications

  • In-depth knowledge of Canadian and US regulatory frameworks and guidelines.
  • Excellent written and verbal communication skills with a minimum of 2 years of experience.
  • Strong analytical, problem-solving, and multitasking abilities, with at least 2 years of relevant experience.
  • Post-secondary education in Business or a related field.

Preferred Qualifications

  • Familiarity with National Instruments and related companion documents.
  • Previous experience in the financial services industry or a related sector.