Senior Registration Expert

1 month ago


Montreal, Quebec, Canada Royal Bank of Canada Full time

Job Summary:

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The Senior Registration Officer is responsible for providing exceptional client service to ensure business revenues and operations are not impacted by filing requests for registration within established service levels. This includes ensuring applications for registration are filed in accordance with regulatory requirements and investigating deficiencies raised by regulators about registration applications pending with the applicable regulators.

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Key Responsibilities:

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  • Analyze all registration applications requiring approval by various regulatory bodies, including new applications, exemptions from registration requirements, changes in registration category, and changes in branch supervision.">
  • Provide detailed advice to the business regarding registration requirements, both corporate and individual, in all provinces and territories.">
  • Investigate and resolve deficiencies raised by regulators about registration applications pending with the applicable regulators.">
  • Work as a liaison with regulators as required for complex registrations matters and escalations, including UDP and CCO filings.">
  • Identify inefficiencies and provide solutions to streamline processes for all lines of business.">
  • Monitor branch activity to ensure licensing reflects regulatory requirements, including communicating with Compliance any supervisory deficiencies.">
  • Accountable for updating and maintaining firm and branch registrations as needed with the various applicable regulators.">
  • Respond to detailed written and telephone inquiries from regulators, registrants, and other internal staff.">
  • Act as a liaison with business, Human Resources, and Subsidiary Governance on matters that relate to individual and firm registration.">
  • Develop and maintain an in-depth knowledge of regulatory and compliance policies and guidelines as it relates to individuals and firms.">
  • Contribute to the development of policies and procedures within the Registrations Department.">
  • Maintain accurate files, both in hard copy and electronically on the internal and external databases.">
  • Ensure timely updates of documents on the internal and external databases.">
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Requirements:

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This role requires previous experience working in highly regulated business environments. The ideal candidate will possess strong communication, interpersonal (verbal and written), and presentation skills.

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Salary Range:

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$95,000 - $110,000 per annum, depending on experience.

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About Us:

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We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper.

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Benefits:

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A comprehensive Total Rewards Program, competitive compensation, opportunities to take on progressively greater accountabilities, and a dynamic, collaborative, progressive, and high-performing team environment.

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