Senior Registration Specialist

Location
Mississauga, Ontario
Salary
Open
Posted
Jun 05, 2019
Closes
Jun 24, 2019
Ref
40175BR
Job Function
Compliance/Regulatory
Industry Sector
Investment Bank
Employment Type
Full Time

COMPANY DESCRIPTION:

At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 14,000+ branch offices where our more than 7 million clients live and work. A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Edward Jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.

DESCRIPTION/RESPONSIBILITIES:

We are seeking a Senior Registration Specialist responsible for ensuring compliance with rules and regulations relating to securities registration and insurance licensing of the various regulatory bodies including IIROC, provincial Securities Commissions and Insurance Councils.

The Senior Registration Specialist is responsible for obtaining and maintaining securities registration and insurance licensing for the firm, executives, supervisors, financial advisors and branches.

 

Responsibilities include:

     * Manage and administer all aspects of securities registration and insurance licensing

     * Conduct thorough & detailed review of submissions by individuals applying for securities registration and insurance licensing ensuring completeness and accuracy

     * Consult various resources for information, conduct relevant research and provide resolutions for any outstanding registration issues and deficiencies

     * Respond to inquiries from regulatory authorities

     * Provide guidance and expertise to multiple internal areas, trainees and registrants on registration related matters

     * Determine, record and communicate post-licensing proficiency requirements and continuing education for all registrants

     * Coordinate multi-jurisdiction registration processes

     * Maintain network of licensed branch locations across multiple internal & external systems(NRD)- branch openings & closings, financial advisor relocations

     * Ensure material changes and amendments to registrations permanent record, Notice of Termination, branch and residential address changes, category changes and proficiency updates are filed in accordance with regulatory timelines

     * Maintain accurate data on multiple internal and external systems ensuring data integrity

     * Develop recommendations and solutions to improve procedures and policies that contribute to the effectiveness of the department in meeting its objectives

     * Post-secondary education or equivalent work experience required

     * Canadian Securities Course and Conduct and Practice Handbook, or must be completed within one year of employment

     * Minimum 3 years' experience in the financial services industry, or experience interpreting and applying rules and regulations

     * Strong working knowledge of relevant securities registration & insurance licensing rules and an overall understanding of the industry

     * Proficient on National Registration Database (NRD) an asset

     * Strong analytical, organizational and problem solving skills.

     * Extremely detail oriented

     * Ability to work both independently with a minimal amount of supervision as well as in a team environment

     * Able to deal with sensitive and confidential matters with discretion

     * Good verbal and written communication skills