Royal Bank of Canada
Job title:
Securities Licensing Specialist
Company
Royal Bank of Canada
Job description
Job Summary Performs quality and/or compliance audits to identify and address opportunities for improvement. Applies basic theories, skills, and practices to accomplish assignments.Job DescriptionWhat is the opportunity?Responsible for handling all aspects of securities, commodities, NFA, Municipal Advisor and investment advisor registration respective to individuals associated with the US broker-dealers under RBC and affiliates. This position covers the US broker-dealer across all business lines.What will you do?Prepare and submit all initial applications for individual securities, investment advisor, NFA, municipal advisor and commodities licenses and ensure that all employees are appropriately licensed to conduct their job responsibilitiesCoordinate the submission of securities and commodity futures registration application filings, branch and entity registration forms, and termination submissionsProcess pre-hire checks for all potential new hires in the U.S. and transfer all licenses for registered employees who join RBC and its affiliates from other firmsWork with Compliance Officers to amend employee licensing records with respect to customer complaints, arbitrations, litigations, internal reviews/investigations, bankruptcies, liens, judgements, garnishments, regulatory, criminal events, name changes, addresses changes and outside business activitiesCommunicate with FINRA, NFA and the various state regulators to follow-up on licensing inquiriesAdminister, research and correct licensing deficiencies including NRF forms, NFA 8R amendments, U5 filings, Form U4Maintain and reconcile the various registration databases and prepare registration reports as neededKeep informed of changes in registration requirements and implement new procedures accordingly; communicate licensing policies and procedures to employeesWhat do you need to succeed?Must-haveExperience working in administrative role while having developed strong interpersonal skills, ability to multi-task, problem solving and attention to detailExperience in environment where discretion is needed along with meeting concurrent deadlinesCustomer service oriented and able to maintain a high degree of professionalismWorking knowledge of MS Office (Word, Microsoft, Excel and Powerpoint)Highly organized and results orientedNice-to-haveBachelor’s Degree and/or experience in Finance, Accounting, Law, Business Administration, Risk Management, or related disciplinesExperience in the FINRA and NFA Registration and Licensing FunctionWorking knowledge of FINRA Gateway, Form ADV, MSRB/Edgar, Winjammer and NFA ORS.What’s in it for you?We thrive on the challenge to be our best, thinking progressively to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.A comprehensive Total Rewards Program including bonuses and flexible benefitsLeaders who support your development through coaching and managing opportunitiesAbility to make a difference and lasting impactWork in an agile, collaborative, progressive, and high-performing teamThe opportunity to interface with executives from many different parts of the organizationJob SkillsAdditional Job DetailsAddress: RBC CENTRE, 155 WELLINGTON ST W:TORONTOCity: TORONTOCountry: CanadaWork hours/week: 37.5Employment Type: Full timePlatform: Law and ComplianceJob Type: RegularPay Type: SalariedPosted Date: 2024-06-26Application Deadline: 2024-08-23Inclusion and Equal Opportunity EmploymentAt RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.Join our Talent CommunityStay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at .
Expected salary
Location
Toronto, ON
Job date
Thu, 27 Jun 2024 23:34:16 GMT
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