As the Registration Representative of Mutual Funds you will build and maintain effective working relationships with business partners to ensure the compliance of Mutual Fund licensing regulations for the distribution network.
What you’re responsible for:
Maintaining the registrations process and procedures and providing subject matter expertise for mutual fund compliance and registration application matters.
Processing registration forms and related materials with respect to licensing, material changes, and terminations through the National Registration Database (NRD) for Co-operators Financial Investment Services Inc. (CFIS)’s dealing representatives.
Tracking registrants and licensees to ensure all required educational and proficiency requirements are satisfied and individuals comply with legislation, department policies and best practices.
Maintaining current databases and tracking spreadsheets with applicable registration and related information.
Building and maintaining effective relationships with government regulators, and staying current on regulatory registration, licensing requirements and legislative changes.
What to expect:
Extended work hours, including weekends, may be required during peak periods.
You will be subject to a Criminal Record and Consumer History background check as a condition of employment, in the event you are the successful candidate.
To be successful:
You influence change and are committed to continuous improvement, in order to exceed client expectations.
You leverage critical thinking skills to identify problems and proactively propose solutions.
Your strong communication skills allow you to clearly convey messages.
You’re an effective team player who shares knowledge to support your peers.
To join our team:
You have three years of experience in the financial or securities industry in a compliance division.
You have completed post-secondary education in Business Administration or Human Resources.
You have completed the Canadian Securities Course (CSC), Investment Funds in Canada Course (IFC) or the Canadian Investment Funds Operations Course (CIFOC).
You have basic knowledge of sales practices and procedures, mutual fund products, compliance regulation and licensing.
You have working knowledge in using National Registration Database (NRD) and associated softwares.
