Job Summary

Job Description

What is the opportunity?

The Senior Registration Officer is responsible for providing superior client service in order to ensure the business revenues and operations are not impacted by filing requests for registration within the established service levels. This includes ensuring applications for registration are filed in accordance with the regulatory requirements and investigating deficiencies raised by regulators about registration applications pending with the applicable regulators. They are also responsible for providing detailed advice to the business regarding registration requirements, both corporate and individual, in all provinces and territories.

What will you do?

Maintaining and revising policies and procedures for the general operation of the compliance program and its related activities.Reporting on the results of compliance and ethics initiatives of the business unit.Implementing corrective action plans for resolution of problematic issues, and providing general guidance on how to avoid or deal with similar situations in the future.Conducting investigative procedures in response to violations of rules, regulations, policies, and procedures.

What do you need to succeed?

Post Secondary educationMinimum 3 years of experience working in the Registrations Department or Training Department of a large broker dealer or financial institution.Knowledge of securities rules, regulations and by-laws related to registration, continuing education and post licensing requirements.Ability to work independently, resolve issues and attend to detail.Ability to prioritize and adhere to strict deadlinesExcellent verbal and communication skillsExcellent analytical and problem solving skillsExcellent technical skills – Excel, Word, Outlook, internet

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

An opportunity to do great and meaningful work with lasting impactLeaders who support your development through coaching and managing opportunitiesWork in a dynamic, collaborative, progressive, and high-performing teamOpportunities to take on progressively greater scopes of workA comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-03-05

Application Deadline:

2025-03-12

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.