Registrations Officer - Jobs in Winnipeg, MB

Job Description

Registrations OfficerLocation: This position will be based out of our Toronto or Winnipeg office.Application Deadline: February 21, 2023Our organization:Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel and Wellington-Altus Private Wealth —the top-rated* wealth advisory company in Canada and one of Canadas Best Managed Companies. With more than $20 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers, and their high-net-worth clients.

• Investment Executive 2022 Brokerage Report Card

The opportunity:As part of the Registrations Team and reporting to the Senior Manager, Compliance, the Registrations Officer will work closely with other registration staff and play an important role in administering the Registration and Continuing Education programs as a subject matter expert for the Compliance department.Key responsibilities include:

• Acting as a compliance subject matter expert for registration matters related to individual and corporate filings, specifically National Instrument 31-103 and IIROC Rules.
• Reviewing and submitting individual registration applications and updates to the appropriate regulatory body, ensuring completeness and accuracy of submissions.
• Maintaining accurate records of registration and submitting changes and updates for firm, business location and individual registrations.
• Responding to inquiries from regulatory authorities with respect to registrations.
• Maintaining Compliance policy and procedures as they related to Continuing Education and Registrations (i.e., 30/90-days training programs, registrations, eligible courses, reporting, and record keeping).
• Fostering and maintaining strong, collaborative relationships with internal and external stakeholders, and promoting a strong culture of compliance.
• Participating in other compliance and supervision related projects and initiatives, as assigned.
• Performing other duties as assigned.

The ideal candidate will possess:

• A minimum 2 years relevant registration experience within the securities industry, either at a dealer, a self-regulatory organization, or a securities regulator.
• An undergraduate degree in business, finance, economics or a related discipline, or equivalent experience and education.
• Successful completion of the CSC and CPH courses is considered an asset.
• Proficiency with the National Registration Database is considered an asset.
• Exceptional interpersonal skills, with an ability to communicate effectively and work collaboratively.
• Practical problem-solving skills and demonstrated sound professional judgement.
• Strong attention to detail, with a sense of ownership and responsibility.
• An ability to work independently and in a team environment.
• Advanced proficiency with the Microsoft Office suite; including Word, Excel, PowerPoint, Outlook, and proficiency with Teams, Zoom, and social media platforms.
• Strong organizational skills with the ability to effectively manage and adapt to changing priorities in a high volume, fast-paced work environment.
• Excellent written communication skills.

Conditions of employment:

• Must be legally eligible to work in Canada.
• A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.

Wellington-Altus Private Wealth is strongly committed to equity and diversity within its community and welcomes applications from women, racialized persons, Indigenous peoples, persons with disabilities, and persons of all sexual orientations and genders. All qualified individuals who would contribute to the further diversification of our organization are encouraged to apply.If you require accommodation for the recruitment process, please let us know at the point of application.To apply:Click the Apply for This Job button to submit your resume, cover letter and salary expectations. You will be contacted if you are selected for an interview. More information about working at Wellington-Altus can be found on our website at www.wellington-altus.com.Quick Apply

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