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Securities Registration Specialist

2 months ago

Toronto, Ontario, Canada CB Canada Full time
Job Description

**Job Title:** Securities Registration Specialist

**Job Summary:** We are seeking a highly skilled Securities Registration Specialist to join our team at CB Canada. The successful candidate will be responsible for ensuring the accuracy and completeness of registration records for securities and insurance products.

Key Responsibilities:

  • **Champion a customer-focused culture**: Deepen client relationships and leverage broader bank relationships, systems, and knowledge to drive business growth.
  • **Registration Process Management**: Perform day-to-day registration functions, including processing registrations, renewals, and amendments.
  • **Regulatory Compliance**: Provide guidance and counsel to employees and branches on regulatory and licensing matters in accordance with department policy and procedures and regulatory requirements.
  • **Communication and Escalation**: Maintain communication with regulatory bodies, including provincial and US securities regulators, and determine matters that require further escalation to management for advice and direction.
  • **Database Management**: Update all applicable registration databases, including the National Registration Database, Active Community, and Centralize.
  • **Relationship Building**: Build and maintain relationships with regulatory bodies, including provincial and US securities regulators, and stay up-to-date on regulatory changes and/or SRO requirements.
  • **Administrative Functions**: Execute various administrative functions to maintain the operation of the department.
  • **Reporting and Feedback**: Provide reporting and feedback to the Manager, Registration, on licensed personnel and any correspondence with regulators, compliance departments, branches, or individuals.
  • **Process Improvement**: Identify areas of deficiencies in the registration process and recommend improvements to management.
  • **Project Participation**: Participate in SRD projects and other duties as assigned.
  • **Risk Management**: Understand how the bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • **Operational Excellence**: Actively pursue effective and efficient operations of their respective areas in accordance with the bank's values, code of conduct, and 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.
  • **Inclusive Work Environment**: Champion a high-performance environment and contribute to an inclusive work environment.

Requirements:

  • **Relevant Working Knowledge**: Relevant working knowledge of Canadian and US regulatory policies and rules.
  • **Strong Communication Skills**: Strong written and verbal communication skills, with a minimum of 2 years of experience.
  • **Analytical and Problem-Solving Skills**: Strong analytical and problem-solving skills, with a minimum of 2 years of experience.
  • **Post-Secondary Education**: Post-secondary education in business or a related field.

Preferred Qualifications:

  • **Strong Knowledge of National Instruments**: Strong knowledge of National Instruments and related companion.
  • **Previous Experience**: Previous experience in the financial industry or a related field.