Job title: Senior Registration Administrator
Company: British Columbia Securities Commission
Job description: Job Summary
The Senior Registration Administrator is responsible for reviewing, determining suitability and processing applications for registration and terminations of registration for dealing representatives, advisers, advising partners directors, officers and employees. This includes reviewing electronic applications for deficiencies, screening and conducting a criminal records and detriments checks, and corresponding with registration applicants and their sponsoring dealer or adviser firms. The Senior Registration Administrator reviews financial notices and notices of termination for cause, and considers this information to make recommendations to the manager to take appropriate regulatory action.
The Senior Registration Administrator in addition supervises the allocation of work for individual registrations among registration team members, and reports to the Manager, Registration & Dealer Compliance, in the Capital Market Regulation Division.
· Review registration applications filed through the National Registration Database (NRD) made by individuals seeking to work in the securities industry and to determine approval or recommend denial of registration.
· Review and analyze information to assess if applicants are suitable for the registrations they request and recommend the approval of applications that meet all regulatory requirements.
· Prepare reasoned analytical written recommendations, including an analysis of applicable securities legislation, concerning the registration or denial of registrations.
· Communicate with applicants, their legal counsel or sponsoring firm to explain deficiencies, assist with the resolution of problems and provide direction on the interpretation of requirements to facilitate approval of registration.
· Complete criminal records and detriments checks for applicants through the service providers, legacy databases and other regulatory bodies.
· Make recommendations to the manager concerning deficiencies, recommended conditions of registration, irregularities and to deny registration applications when appropriate.
· Prepare recommended conditions of registration letters to applicants for the manager’s signature.
· Review ongoing notices filed through NRD for registered firms and individuals.
· Compile statistical information and reports as required.
· Respond to internal and external inquiries.
· Participate in the development and implementation of policies and procedures that enhance the operation of the registration branch.
· Liaise with other Divisions within the Commission and with other Securities Commissions and regulators.
· Conduct preliminary investigation of allegations and complaints received from the public and registered firms for individuals; i.e. derogatory notices of termination, criminal records not disclosed, bankruptcy and other financial problems.
· Prepare memorandums detailing alleged offences, misconduct, supporting evidence found and other relevant information and recommend the appropriate action to manager.
· Supervise the fair and efficient allocation of individual registration applications among registration team members.
(Education, Work Experience, attributes etc.)
High School graduation or equivalent with five years of clerical experience or an acceptable equivalent combination of education and experience; effective keyboarding skills; practical knowledge of word processing applications; excellent interpersonal and communication skills, both written and verbal; proven ability to analyze information; uses sound judgment and takes initiative; exercises tact and discretion.
What we offer:
- Extensive benefit package including a defined benefit pension plan, medical and dental coverage, Wellness and Health Spending Account benefits, and four weeks of annual vacation
- Hybrid work model
- Beautiful downtown office
- Work life balance
- Professional development opportunities
- A collaborative, progressive, and professionally diverse team to work with
57,150 (min) – 71,439 (mid) – 85,727 (max)
The starting salary for this position will be determined considering the successful candidate’s relevant experience and education, salaries of other employees in the same salary range, market conditions and other relevant factors. Starting salaries are normally below the salary band midpoint.
Please visit our page to submit your cover letter and resume for this position, quoting competition 24:108 by February 12, 2024.
Candidates must be authorized to work in Canada. Investment restrictions apply.
Location: Vancouver, BC
Job date: Sat, 27 Jan 2024 01:17:34 GMT