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Title:  Registration Officer (6 month contract)

 

 

 

Requisition ID: 71635

 

Join the Global Community of Scotiabankers to help customers become better off.

 

Purpose

 

The Registration Officer is responsible for evaluating and coordinating the submission of registration applications and regulatory notices with the appropriate SGC regulators for a preassigned group consisting of Scotiabank employees, branches and Firms across Canada. The incumbent ensures these are completed in accordance with department policy and procedures and regulatory requirements. 

 

Accountabilities

 

  • The Registration Officer is responsible for the Securities and Insurance registration process, performing all day-to-day registration functions. Providing guidance and counsel to employees and branches on regulatory and licensing matters in accordance with department policy and procedures and regulatory requirements.
  • Manage the securities renewals process which includes registrants, branch and firm with the applicable provinces, territories and states. Maintain communication within SRD and determine matters which require further escalation to the SRD management for advice and direction.
  • Responsible for updating all applicable Registration databases, including the National Registration Database, Horizon and internal databases.
  • Represent the SRD, build and maintain relationships with all regulatory bodies including provincial and US securities regulators. The incumbent is responsible for keeping abreast of regulatory changes and/or SRO requirements.
  • Execute various administrative functions to maintain the operation of the SRD. Provide reporting and feedback to the Manager, Registration on licensed personnel and any correspondence with Regulators, compliance departments, branches or individuals. Identify any areas of deficiencies in the registration process to management.
  • Participate in SRD projects and other duties as assigned.

 

 

Education/Experience required

  • University degree (Business) or College certificate
  • Relevant working knowledge of Canadian and US Regulatory policies and rules
  • Strong written and verbal communication skills
  • Strong analytical and problem solving skills and multi-tasking skills required
  • Strong knowledge of National Instrument 33-103 and 33-109 and related companion

 

Location(s):  Canada : Ontario : Toronto 

As Canada's International Bank, we are a diverse and global team. We speak more than 100 languages with backgrounds from more than 120 countries. Our employees are committed to a superior customer experience and use the Bank’s six guiding sales practice principles to ensure they act with honesty and integrity.

 

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.


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