Senior Manager, Registration and Continuing Education, Compliance Canada

Canaccord Genuity Group Inc.•Vancouver, BC

62d•$120,000 - $135,000•Onsite

About The Position

Canaccord Genuity (CG) is a leading independent full-service financial services firm, with operations in two principal segments of the securities industry: wealth management and capital markets. CG is driven by an unwavering commitment to build lasting client relationships – we achieve this by generating value for our individual, institutional, and corporate clients through comprehensive wealth management solutions and investment banking services. We are a leading independent wealth management firm in Canada, and the leading mid-market provider of investment banking advisory, equity research, sales and trading services for corporations and institutions. We pride ourselves on understanding our clients’ needs and finding innovative, bespoke solutions. Our entrepreneurial and friendly team will challenge you to learn and grow every day. We value great work and collaboration and strive to eliminate bureaucratic thinking. We’re looking for talented people who thrive in a fast-paced environment and want to have an impact with innovative ideas and best practices. Come be a part of our Canadian success story and help deliver superior experiences for our clients. At CG, we recognize that diversity across our business strengthens our client relationships and enables more innovative solutions. We strongly encourage applications from all qualified individuals regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. CG provides an accessible candidate experience. If you need any accommodations throughout the interview process and beyond, please let us know. Our Canadian operation, Canaccord Genuity Corp is seeking to hire a full-time Senior Manager, Registration and Continuing Education, reporting to the Vice President, Centralized Services, in either our Vancouver or Toronto offices. The Senior Manager will lead a team that performs the Registration and Continuing Education regulatory-based functions supporting CG’s business divisions and affiliate businesses in Canada. You will be primarily responsible for processing individual and firm Canadian and U.S.-based registrations, recording continuing education completions, and ensuring that all licensing requirements are met.

Requirements

Post-secondary education (University degree or College diploma)
Minimum 5 – 10 years of experience in the financial services industry, preferably in registrations at a CIRO Dealer Member.
Must be proficient with the NRD system and Provincial / Territorial Securities Commission filing forms is required.
Strong verbal and written communication skills, with the ability to interact effectively with the Regulators, your Direct Reports and individuals within the firm at all levels and across diverse personality types.
Ability to work independently in a high-volume, multi-tasking environment, while also collaborating effectively within a team to foster a positive and supportive workplace.
Highly detail-oriented, with strong analytical, research, organizational, file management, and problem-solving skills.
Ability to manage competing priorities and meet strict deadlines.
Strong client service mindset with the ability to identify process inefficiencies and recommend practical improvements.
Proficient in Microsoft Office applications, particularly Excel and Word, and experience working with databases.

Nice To Haves

Familiarity with Equisoft for handling insurance licenses is considered an asset.

Responsibilities

Process all firm and individual registration submissions in a timely and accurate manner, including initial registrations, material changes, disclosures, and terminations. These include filings with the Canadian Investment Regulatory Organization (“CIRO”), National Registration Database (“NRD”), Provincial and Territorial Securities Commissions across Canada, Financial Industry Regulatory Authority (“FINRA”), Securities and Exchange Commission (“SEC”) and the Central Registration Depository (“CRD”).
Track and manage registration-related processes, including new representative supervision, professional designations, outside activities, and the annual registration renewal process.
Maintain complete and accurate registration and Continuing Education (“CE”) records within the CIRO-designated repository and internal tracking systems.
Track CE completion requirements and report completions and deficiencies to CIRO on a timely basis.
Escalate registration-related concerns, including financial, regulatory, criminal, civil, or other material disclosures, to the VP, Centralized Services and Chief Compliance Officer(s) (“CCO”), as appropriate.
Effectively lead and guide the team in managing responsibilities, fostering a positive environment, and promoting a collaborative and client service mindset.
Stay current on regulatory registration requirements, industry developments, and best practices, and update the Registration and Continuing Education Policies and Procedures as needed.
Act as a key liaison with CIRO registration staff, respond to internal registration inquiries, and guide staff.
Liaison with HR, Branch Administrators, Branch Managers, Hiring Managers, Supervisors and Compliance staff to facilitate the efficient transfer of licences.
Coordinate with applicants and regulators to address deficiencies and ensure timely registration approvals.
Order U.S. study materials and coordinate scheduling of U.S. licensing examinations.
Monitor, reconcile and coordinate the handling of various registration fees, including registration exemption fees to FINRA/SEC, NRD and Canadian registration fees to ensure accuracy and completeness, and CRD account balance to maintain sufficient funds for U.S. registration fees.
Process Insurance license applications and transfers
Assist with ad hoc Compliance department projects, as required.