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 quality, timely and consistent reviews of registration-related information
• Reviews certain registration filings such as notices of end of registration for registered individuals and escalates matters in accordance with established protocols
• Supports the department’s gatekeeper functions by accurately reviewing background check results supporting registration (such as bankruptcy checks) and processing other checks using internal and external sources
• Provides administrative support for the department, including for industry member file copy requests
• Corresponds with filers and their representatives requesting further 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 provide 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 related 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 related 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 when 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 within established service timelines
• Proficiency with a variety of computer software applications, including MS Word, Excel

Benefits

• Performance based bonus
• Employer paid 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.
• Paid flex days and sick days
• Vacation days
• Maternity/Paternity Leave of Absence top up
• Paid continuous learning and continuing development including designations.

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