Raymond James Ltd
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.
Quote Job Reference: 19-026
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