Registrations Analyst — Compliance MFDA
With your background, skills and experience you’ve already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success?
Our Head Office Compliance team is currently growing! We’re seeking a Registrations Analyst – someone who is interested in supporting our Registration Officers and developing strong relationships with our Advisors on all matters related to registration.
WE WANT YOU TO JOIN OUR TEAM OF WINNERS!
At Investment Planning Counsel we’ve designed every aspect of the Registrations Analyst role with you in mind.
What is the role of the Registrations Analyst?
- Supporting the Registrations Officer with daily duties, including:
- Handling client mobility exemptions
- Processing name changes, proficiency updates, extra-provincial registration applications and new locations changes
- Assisting Advisors with the Continuing Education (CE) process and Annual Compliance Questionnaire (ACQ)
- Scanning and filing for the department
- Responding to inquiries from Advisors in a timely and effective manner, providing clarification and interpretation of firm registration policies and applicable regulatory requirements
- Providing back-up coverage to other team members when needed
- Other ad-hoc related registrations projects as necessary
What traits and competencies should a Registrations Analyst possess?
- Ability to multi-task, prioritize and meet tight deadlines
- Relationship-building skills with a commitment to establishing long-term client relationships
- Ability to leverage technology to enhance client experiences
- Ability to think critically and use sound judgment when serving clients
What are the preferred qualifications for a Registrations Analyst?
- Post-secondary education required
- Previous experience in a registrations or compliance role is considered an asset
- Knowledge of the National Registrations Database (NRD) and filing process is an asset
- Strong verbal and written communication skills
- Goal oriented at an individual and team level
What is #lifeatIPC?
- Awesome support in providing industry-leading training to help you succeed in your role
- Awesome community involvement opportunities through IPC Cares
- Awesome perks: benefits that fit your needs, pension, share purchase plan, corporate discount plans, social events, summer hours, and fun
- Awesome recognition: kudos, all-star program, rising star, and the circle of excellence
- Awesome Leadership teams that know your name