Manager, Registration & Compliance Support (Bilingual)
Location: North York
Our Client is seeking a qualified Bilingual Manager of Registration and Compliance Support to add to its dynamic team. The Manager will be responsible for overseeing the daily operation of the Registration Team and the Compliance Support Team. The Manager will also be fully engaged in assessing and processing submissions for registration of Registrants ensuring that individuals meet the fit and proper standards of registration. In addition to this, the Manager will be responsible for processing dealer related filings and renewals as it relates to its affiliated companies as a Scholarship Plan Dealer, Investment Fund Manager and Mutual Fund Dealer under the Securities Act. This position is available immediately.
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 license transfers, reinstatements and terminations, including communicating discrepancies with agencies and process through the NRD system, and following-up daily on status.
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.
Experience and Skill Requirements:
A strong background in administration and the Securities or Financial Industry.
Hold an active CSC or IFIC designation
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
Education/Technical Training Requirements:
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.