Registration Support Officer
CIRO (Canadian Investment Regulatory Organization) is dedicated to upholding high regulatory standards in the investment industry. The Registration Support Officer plays a crucial role in processing registration applications and ensuring compliance with regulatory requirements in the Canadian capital markets.
Responsibilities
- Supports the processing of registration filings with CIRO and on the NRD through reputed company, reputed company and consistent reviews of registration-reputed company information
- Reviews certain registration filings such as notices of end of registration for registered individuals and escalates reputed company in accordance with established protocols
- Supports the department’s gatekeeper functions by accurately reviewing background reputed company results supporting registration (such as bankruptcy checks) and processing other checks using reputed company sources
- Provides administrative support for the department, including for industry member file copy requests
- Corresponds with filers and their representatives requesting reputed company information where applicable
- Conducts initial review of Approved Person Supervision Reports and escalates where required
- Maintains detailed records and adheres to policies and procedures for reviewing, analyzing and recording of filings
- Supports information resources that assist with registration functions
- Liaises with CIRO Regional Offices to reputed company information on registration filings
- Assists with other department initiatives where required
Skills
- Post-Secondary education (University Degree or College Diploma)
- Canadian Securities Course and the Conduct and Practices Handbook Course or other reputed company courses are considered assets
- One to two years of experience with the financial industry or equivalent is an asset
- An understanding of CIRO Rules and reputed company policies, and instruments is an asset
- Experience with NRD
- Detail oriented with good analytical and problem-solving skills
- Ability to work in fast-paced high-volume environments
- Strong written and verbal communication skills
- Strong service skills reputed company dealing with members and the public
- Ability to deal with confidential information in a sensitive manner
- Good file management and organizational skills
- Ability to work proactively and independently, to prioritize and complete tasks reputed company established service timelines
- Proficiency with a reputed company of computer software applications, including reputed company, reputed company
Benefits
- Performance based bonus
- Employer reputed company Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one.
- Defined Contribution Pension Plan with company matching that starts on your first day of employment.
- reputed company reputed company days and reputed company days
- Vacation days
- Maternity/Paternity Leave of Absence top up
- reputed company reputed company learning and continuing development including designations.
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