- Manage and supervise the day to day operation of the Registration and Compliance Support Team and provide guidance and training regarding registration requirements, compliance trade related issues, client complaints and other processes through written and verbal communication.
- Ensure internal systems used for registration and compliance record keeping are running efficiently, making suggestions for updates or changes necessary to conform to any regulatory changes.
- Oversee Compliance Advertising Approvals
- Oversee surveillance of compliance initiatives relating to items posted in social media and the internet
- Liaison with sales agencies and Securities Commissions.
- Review and process new applications for registration and make recommendations to the Compliance Officer(s) relating to granting or refusing registration for individuals and the firm.
- Review license transfers, reinstatements and terminations, including communicating discrepancies with agencies and process through the NRD system, and following-up daily on status.
- Manage year end license renewal process for registrants and the dealer
- Prepare weekly reports on licensing activities, complaints and trends relating to trade activity.
- A strong background in administration and the Securities or Financial Industry.
- Experience in a registration-related and compliance role with familiarity in securities policies , or similar legislation
- Clear, concise and professional communication skills, both verbal and written in English & French.
- Ability to manage priorities and meet critical dead lines.
- Good organizational and time management skills
- Strong self-confidence and ability to work in fast paced environment
- Demonstrates good judgment and problem solving skills, detail oriented and solution focused
- Post-Secondary education.
- Completion of Canadian Securities Course or other related courses.
- Proficient in MS Office and familiarity with National Registration Databases (NRD).
- Experience in the Financial/Insurance Industry, Mutual Fund industry or similar.
- English [Advanced], French [Advanced]