Registration Officer (Banking)
207 Queens Quay W Toronto, Ontario M5J
Our client, a leading financial institution, is looking for a Registration Officer to join their team for a 6 month contract!
Opportunity Number: #63091
Location: Toronto, On - Queens Quay W @ York St
Pay Rate: $18.00/ hr ( paid weekly)
Hours of Work: Monday – Friday 8:30 AM – 5 PM
Contract Duration: 6 months, with possibility of extension
Must have good credit history and clear criminal record
- Provide high quality service in all internal customer interactions.
- Act as a point of reference to applicants, existing registrants, business units, other Compliance personnel, and HR practitioners regarding registration and industry education matters.
- Prepare submissions to register accredited salespersons, supervisors and permitted individuals of Wealth department, using online and paper-based applications as required.
- Monitor applications for potential conditional registrations (i.e. applicants with criminal records, bankruptcies, garnishments, civil suit involvement, etc.) and bring to management’s attention.
- Prepare submissions to report material changes to regulatory bodies for registered persons.
- Prepare submissions to report terminations of registered persons, and conduct additional research with HR Practitioners, other Compliance personnel and/or business units as required.
- Track post-licensing and continuing education requirements as required, and report to regulators.
- Maintain various electronic records, including secure web-based applications, Excel spreadsheets, legacy databases, and paper files.
- Interact with regulators on a regular basis regarding specific registration files.
- Keep abreast of regulatory, Bank and departmental policies and procedures with reference to registrations.
- Seeking an effective team member with administrative experience and knowledge of the financial services industry.
- Complete familiarity with Microsoft Office, including MS Word, Outlook, and MS Excel
- Ability to think critically and to assess specific situations to determine if there are broader implications
- Excellent oral, written, organizational, analytical, and problem-solving skills
- Ability to manage and prioritize multiple projects, many with tight deadlines
- Ability to work independently, however, understands when matters need to be escalated to management
- Financial Services Industry experience
To apply, please click Apply Online or submit your resume by email to: BMRresume@bagg.com
View all of our job postings at www.bagg.com
Accommodations are available upon request to support your participation during all stages of the recruitment process.