Salary range: $50,000 – $62,000
Who we are:
Canaccord Genuity (CG) is a leading independent full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets. CG is driven by an unwavering commitment to build lasting client relationships – we achieve this by generating value for our individual, institutional, and corporate clients through comprehensive wealth management solutions and investment banking services. We are a leading independent wealth management firm in Canada, and the leading mid-market provider of investment banking advisory, equity research, sales and trading services for corporations and institutions.
We pride ourselves on understanding our clients’ needs and finding innovative, bespoke solutions. Our entrepreneurial and friendly team will challenge you to learn and grow every day. We value great work and collaboration and strive to eliminate bureaucratic thinking. We’re looking for talented people who thrive in a fast-paced environment and want to have an impact with innovative ideas and best practices.
Come be a part of our Canadian success story and help deliver superior experiences for our clients. At CG, we recognize that diversity across our business strengthens our client relationships and enables more innovative solutions. We strongly encourage applications from all qualified individuals regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. CG provides an accessible candidate experience. If you need any accommodations throughout the interview process and beyond, please let us know.
Our Canadian operation, Canaccord Genuity Corp is seeking to hire a full-time Senior Registrations Officer, reporting to the Manager Registrations, in either our Vancouver or Toronto offices. You will be primarily responsible for processing individual and firm Canadian and U.S.-based registrations, recording continuing education completions, and ensuring that all licensing requirements are met.
Responsibilities:
- Process all firm and individual registration submissions in a timely and accurate manner, including initial registrations, material changes, disclosures, and terminations. These include filings with the Canadian Investment Regulatory Organization (“CIRO”), National Registration Database (“NRD”), Provincial and Territorial Securities Commissions across Canada, Financial Industry Regulatory Authority (“FINRA”), Securities and Exchange Commission (“SEC”) and the Central Registration Depository (“CRD”).
- Track and manage registration-related processes, including new representative supervision, professional designations, outside activities, and the annual registration renewal process.
- Escalate registration-related concerns, including financial, regulatory, criminal, civil, or other material disclosures, to the Manager, Registrations or VP, Centralized Services and Chief Compliance Officer(s) (“CCO”), as appropriate.
- Assist the team in managing responsibilities, fostering a positive environment, and promoting a collaborative and client service mindset.
- Stay current on regulatory registration requirements, industry developments, and best practices, and help to update the Registration and Continuing Education Policies and Procedures as needed.
- Coordinate with applicants and regulators to address deficiencies and ensure timely registration approvals.
- Liaison with HR, Branch Administrators, Branch Managers, Hiring Managers, Supervisors and Compliance staff to facilitate the efficient transfer of licences.
- Monitor, reconcile and coordinate the handling of various registration fees, including registration exemption fees to FINRA/SEC, NRD and Canadian registration fees to ensure accuracy and completeness, and CRD account balance to maintain sufficient funds for U.S. registration fees.
- Other Registrations tasks as assigned
- Maintain complete and accurate registration and Continuing Education (“CE”) records within the CIRO-designated repository and internal tracking systems. Track CE completion requirements and report completions and deficiencies to CIRO on a timely basis.
- Order U.S. study materials and coordinate scheduling of U.S. licensing examinations.
- Process Insurance license applications and transfers
- Assist with ad hoc Compliance department projects, as required.
Skills & Qualifications
- Post-secondary education (University degree or College diploma)
- Experience in the financial services industry, preferably with a CIRO Dealer Member.
- Strong ability to learn quickly and adapt to new responsibilities.
- Ability to learn and effectively use new systems, tools, and regulatory processes, including:
- National Registration Database (NRD)
- MyComplianceOffice (MCO)
- Provincial and Territorial Securities Commission filing systems and related regulatory requirements
- Highly detail-oriented, with strong analytical, research, organizational, file management, and problem-solving skills.
- Strong verbal and written communication skills, with the ability to interact effectively with individuals within the firm at all levels and across diverse personality types.
- Ability to work independently in a high-volume, multi-tasking environment, while also collaborating effectively within a team to foster a positive and supportive workplace.
- Strong client service mindset with the ability to identify process inefficiencies and recommend practical improvements.
- Willingness to complete industry courses, certifications, and continuing education requirements.
- Proficient in Microsoft Office applications, particularly Excel and Word, experience working with databases and a willingness to adopt and leverage technology to improve efficiency and processes.
- Ability to manage competing priorities and meet strict deadlines.
- Familiarity with Equisoft for handling insurance licences is considered an asset.
#INDHP
All applications will be held in strict confidence.
In order to be considered for employment, candidates selected for interviews will be required to show proof of citizenship, permanent residence or eligibility to work in Canada with no restrictions.
Protecting your online safety:
Canaccord Genuity and its affiliates do not use text messages for recruitment purposes. If you have received a text message claiming to be from CG or an authorized representative regarding job recruitment, please treat as fraudulent and do not respond.
We wish to thank all candidates for their interest but only those applicants selected for an interview will be contacted. No phone calls please. Thank you for your understanding.
