Specialist, Registration and Permits

3 weeks ago

Québec City, Canada Investia Financial Services Inc. Full time

Description

Sector: Compliance / Investia / Administration / Customer Service / Hybrid / Quebec City / Permanent / Full time / Start date: June 2024


Reporting directly to the Assistant Director, Compliance, the incumbent will be primarily responsible for the day-to-day tasks related to the registration of new representatives in compliance with regulations and objectives.
The team currently comprises ten people, including four registration specialists. The incumbent will be encouraged to become a key resource for the team and other departments, and act as a mentor to less experienced colleagues. His/her enthusiasm and positive attitude will be expected to inspire and contribute to the Team's success


Main duties :

Always respecting regulations and compliance requirements,

You will be responsible for the entire process of registering and welcoming new Mutual Fund Advisors; You will be responsible for Advisor supervision files, updating databases, following up with Advisors as well as with internal partners and Regulatory Authorities; You will be responsible for the verification process of external activities, their receipt, due diligence, approval and disclosure to Regulatory Authorities; You will liaise with the Sales Communications group to ensure a smooth on-boarding process for new sales representatives. You will support and communicate directly and effectively with Advisors, internal partners (other teams), external partners (fund companies, various suppliers) and Regulatory Authorities. In addition to the special projects assigned by the Deputy Director of Compliance and/or the Assistant Chief Compliance Officer in charge of supervising the Advisors, you will initiate and carry out new projects and manage situations that may arise. You will be able to initiate and carry out new projects and manage situations that may arise; You will contribute to the review, drafting and implementation of new and updated procedures and documents used by the team and Advisors. You will support other team members in their tasks (multi-tasking approach); You will communicate directly and effectively with Consultants, internal partners (other departments) and external partners; You will actively participate in the daily process of continuous improvement (Lean management principles) and bring forward proposals aimed at innovation, improved results and the achievement of objectives .

Profile required: 

High school diploma; Proficiency in Excel; Knowledge of the Office suite; Curiosity and open-mindedness; Thoroughness in organization, follow-up and reporting; Ability to work under pressure and adapt to often-changing requirements in a dynamic environment; Proven talent for customer service and administration; Flexibility and teamwork; Excellent oral and written skills in English and French, because 50-75% of day-to-day tasks are in English. English tasks include writing, oral and written communication, and auditing.

The mutual funds course must be completed after the probation period (6 months).

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