Senior Registration Officer

Senior Registration and Education Officer (Contract)

Vancouver, BC (Hybrid) OR Toronto, ON (Hybrid)

$65-90K

ABOUT US

STRIVE is a Vancouver-based recruitment firm offering recruitment solutions in the specialist areas of Accounting & Finance, Corporate Administration and Operations & Manufacturing. We are passionate about recruitment at STRIVE and commit to offering an upfront, genuine and consultative approach to everything we do - which is a big reason as to why we have been successful. Our proactive recruitment approach allows us to uncover suitable professionals for niche, specialized and what are often regarded as "hard to fill" roles.

THE ROLE

STRIVE Recruitment has partnered with a long-standing Investment firm in Vancouver, that has a proven advisory services team in a variety of rapidly growing sectors as well as offering multiple financing options in the capital markets.

The client is looking to hire a Senior Registration and Education Officer, reporting to the VP Compliance, and primarily responsible for assisting with the processing of Canadian and US individual registrations and other regulatory licensing requirements.

The candidate will have exposure to advisors and management at different levels.

RESPONSIBILITIES

Registration

• Responsible for the timely execution and maintenance of all Firm and Staff registration requirements (CIRO, Provincial submissions and certain FINRA or State reporting requirements).
• Seek supervisory approval from senior management such as VP, CCO or CEO for registration filings as required.
• Timely escalation of registration related concerns to VP Compliance, the CCO or the CEO as required.
• Support the design and implementation of registration workflows and controls and the structure and maintenance of registration related books and records system.
• Support the design and implementation of the annual registration renewal process
• Address all staff registration related inquiries, provide direction or guidance as necessary or escalate query to CCO or CEO if necessary
• Engagement with regulatory agencies to retain the breadth of knowledge necessary to understand industry registration best practices, regulatory developments and further registration submissions & registration exemption requests.

Education (Bonus)

• Administering, recording / tracking of regulatory training requirements and maintenance of training related books & records, both internal and from third-party vendors.
• Effective notification of registered staff of pending regulatory training requirements, and monitoring of incomplete training which require regulatory filings, actions or internal restrictions.
• Coordinate 30/90 Day Training administration, assist with new registrant onboarding training and tracking, collect applicable attestations and questionnaires
• Execution and tracking of registered Staff annual confirmations and attestations.
• At the initiative of the CCO, recording and tracking completion of internal training requirements
• Support and maintenance of Continuing Education requirements (i.e., RegEd for the purpose FINRA Firm Element and ACM training requirements)

REQUIREMENTS

• 5 - 6 years of industry experience, with 2-3 years of registration (NRD and/or CRD)
• MUST have NRD registration experience! CRD is an asset
• Strong and effective communication skills and customer service skills; ability to effectively interact with a variety of personality types
• Ability to maintain a high level of cognitive awareness of his/her surroundings in a fast paced/multi-task environment
• Completion of the Canadian Securities Course or Conduct & Practices handbook is a benefit
• Strong analytical and problem solving skills
• Strong knowledge of spreadsheets and database navigation
• Additional experience with training and/or an LMS is highly advantageous

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