Job Title:

Registrations Officer


Raymond James Ltd


Vancouver, BC

Job Reference:


We are seeking a Registrations Officer for our downtown Vancouver office.

We are Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

As an integral member of the Registrations team, you will be responsible for processing Canadian and US individual and firm registrations, Continuing Education for Canadian registration and Canadian Insurance licensing. 

Specifically you will:

  • Process registrations and updates electronically (on NRD and CRD) and in writing, while maintaining various in-house records;
  • Keep abreast of industry changes and requirements for registrations and Continuing Education;
  • Liaise with Regulatory bodies and in-house staff, both verbally and in writing, and respond to any queries;
  • Maintaining the Continuing Education (CE) database;
  • Process life licensing applications, transfers and renewals and maintain the Life Licensing Database;
  • Process Errors & Omissions (E&O) liability applications and administer monthly payroll chargebacks;
  • Process weekly NRD reconciliations;
  • Assist with ad-hoc department projects; and
  • Other duties as assigned.

To qualify for this opportunity you possess:

  • Minimum 2 years of financial industry or related administrative experience;
  • Experience in dealing with regulatory bodies is an asset;
  • Excellent proficiency with MS Office particularly Word, Excel and Outlook;
  • Knowledge of MS Access is an asset;
  • Excellent written and verbal communication skills;
  • Fluency in French is a definite asset;
  • Strong organizational and multi-tasking skills;
  • A keen attention to detail;
  • Ability to work under pressure and meet stringent regulatory deadlines, while maintaining a high level of customer service; and
  • A desire and motivation to learn and take on new tasks.

This is a permanent full-time position with a competitive compensation and benefits package.


If you would like to join our team, please send a resume and covering letter, quoting the position and Job Posting # 19-026  to:

Human Resources


To be considered for employment candidates will be required to provide proof of citizenship, permanent residency or eligibility to work in Canada with no restrictions. We require applicants to complete a background verification process prior to commencing employment with the company, including but not limited to a credit and criminal record check. Employment is contingent on the satisfactory completion of a pre-employment background check.

We sincerely thank all applicants who express an interest in this role: only those being directly considered will be contacted.

Raymond James Ltd. recognizes the value of a diverse workforce and appreciates the unique skills and special contribution of each employee. We are committed to accessibility for candidates through all stages of the recruitment process. Should you require accommodation, please contact Human Resources via email at the address above.

Quote Job Reference: 19-026

Posted 2019-04-29

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