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Senior Registration Officer

1 month ago

Toronto, Canada Royal Bank of Canada> Full time

Job Summary

The Senior Registration Officer is responsible for providing superior client service to ensure the business revenues and operations are not impacted by filing requests for registration within the established service levels. This includes ensuring applications for registration are filed in accordance with the regulatory requirements and investigating deficiencies raised by regulators about registration applications pending with the applicable regulators. They are also responsible for providing detailed advice to the business regarding registration requirements, both corporate and individual, in all provinces and territories. Responsible for analyzing all registration applications requiring approval by the various regulatory bodies. This includes new applications, exemptions from registration requirements, changes in registration category and changes in branch supervision.

Job Description

What is the Opportunity?

As part of the Registrations team, the Senior Registration Officer will be responsible for providing superior client service to ensure the business revenues and operations are not impacted by filing requests for registration within the established service levels.

This includes ensuring applications for registration are filed in accordance with the regulatory requirements and investigating deficiencies raised by regulators about registration applications pending with the applicable regulators.

They are also responsible for providing detailed advice to the business regarding registration requirements, both corporate and individual, in all provinces and territories. Responsible for analyzing all registration applications requiring approval by the various regulatory bodies.  This includes new applications, exemptions from registration requirements, changes in registration category and changes in branch supervision.

What will you do?

  • Responsible for analyzing all registration applications requiring approval by the various regulatory bodies.  This includes new applications, exemptions from registration requirements, changes in registration category and changes in branch supervision.
  • Responsible for reporting of approvals, suspensions and deficiencies to the business unit supervisors and the individual registrants.
  • Work as a liaison with Regulators as required to for complex registrations matters and escalations including UDP and CCO filings.
  • Identify inefficiencies and provide solutions to streamline processes for all lines of business.
  • Monitoring 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 by ensuring the requirements specified in the applicable legislation in each province and/or territory are being met.
  • Accountable for responding 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 the firm registration.
  • Develop and maintain an in-depth knowledge of regulatory and compliance policies and guidelines as it relates to individuals and firm.
  • Understand and provide insight into regulatory changes that impact Registrations and result in any procedural changes.
  • 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 up to date documents are filed on a timely basis.
  • Responsible for the data integrity that is entered into various databases.  Ensure all areas/information that require updating are always done.
  • Research, develop, coordinate, execute and manage special projects as assigned.

What do you need to succeed?

Must-have

  • Previous experience working in highly regulated business environments.
  • Strong communication, interpersonal (verbal and written) and presentation skills.

What’s in it for you?

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. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

  • A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • Opportunities to take on progressively greater accountabilities 

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-11-25

Application Deadline:

2024-12-14

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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