Securities Registrations Specialist
Top Benefits
About the role
Job Description
What is the opportunity?
The Registrations Specialist is responsible for handling all aspects of securities, commodities, Municipal Advisor and investment advisor registration respective to individuals associated with the US broker-dealers under RBC Capital Markets, LLC and its affiliates. This position covers the US broker-dealer across all business lines.
This role is a fully remote (work from home) opportunity.
What will you do?
- Prepare and submit all initial applications for individual securities, investment adviser, municipal advisor and commodities licenses and ensure that all employees are appropriately licensed to conduct their job responsibilities
- Coordinate the submission of branch and entity registration forms, and termination submissions for various firm departments
- Process consent and disclosure checks for all potential new hires who will be associated to the US broker-dealer
- Process initial Form U4s and relicense transfers for registered employees who join RBC Capital Markets, LLC and its affiliates
- Amend employee registrations records with respect to customer complaints, arbitrations, litigations and internal reviews/investigations
- Communicate with FINRA, NFA and the various state regulators to follow-up on any applicable registrations matters
- Research and correct licensing deficiencies
- Complete Form U4 updates as applicable for name changes, address changes and outside business activities
- Amend Form U4 for required disclosures, such as bankruptcy, lien, judgement, garnishments, regulatory and criminal events.
- Prepare and submit Form 8R filings as applicable
- Process Form U5 filings as applicable
- File Form U4 amendments requesting qualifying examinations on the FINRA Gateway System
- Track Regulatory Element continuing education and escalate when necessary
- Submit individuals for NFA Proficiency exams, track completion and generate weekly reporting
- Maintain and reconcile the various registration databases and prepare registration reports as needed
- Keep informed of changes in registration requirements and implement new procedures accordingly; communicate licensing policies and procedures to the business
What do you need to succeed?
Must-have
- Bachelor’s Degree or equivalent work experience
- 2-4 years of experience in banking or financial services
Nice-to-have
- Working knowledge of MS Office (Word, Excel, PowerPoint)
- FINRA Gateway
- Form ADV, MSRB/Edgar and NFA ORS
- Strong interpersonal skills and ability to handle situations that may require escalation
- Problem solving abilities, customer service orientation with a high degree of professionalism
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.
- A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
- Leaders who support your development through coaching and managing opportunities.
- Ability to make a difference and lasting impact.
- Work in a dynamic, collaborative, progressive, and high-performing team.
- Opportunities to do challenging work.
- Opportunities to build close relationships with clients.
For Minnesota: The expected salary range for this particular position is $45,000-75,000, depending on your experience, skills, and registration status, market conditions and business needs.
You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.
RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
- Drives RBC’s high-performance culture
- Enables collective achievement of our strategic goals
- Generates sustainable shareholder returns and above market shareholder value
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:
250 NICOLLET MALL:MINNEAPOLIS
City:
Minneapolis
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-10-10
Application Deadline:
2025-11-28
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.
Securities Registrations Specialist
Top Benefits
About the role
Job Description
What is the opportunity?
The Registrations Specialist is responsible for handling all aspects of securities, commodities, Municipal Advisor and investment advisor registration respective to individuals associated with the US broker-dealers under RBC Capital Markets, LLC and its affiliates. This position covers the US broker-dealer across all business lines.
This role is a fully remote (work from home) opportunity.
What will you do?
- Prepare and submit all initial applications for individual securities, investment adviser, municipal advisor and commodities licenses and ensure that all employees are appropriately licensed to conduct their job responsibilities
- Coordinate the submission of branch and entity registration forms, and termination submissions for various firm departments
- Process consent and disclosure checks for all potential new hires who will be associated to the US broker-dealer
- Process initial Form U4s and relicense transfers for registered employees who join RBC Capital Markets, LLC and its affiliates
- Amend employee registrations records with respect to customer complaints, arbitrations, litigations and internal reviews/investigations
- Communicate with FINRA, NFA and the various state regulators to follow-up on any applicable registrations matters
- Research and correct licensing deficiencies
- Complete Form U4 updates as applicable for name changes, address changes and outside business activities
- Amend Form U4 for required disclosures, such as bankruptcy, lien, judgement, garnishments, regulatory and criminal events.
- Prepare and submit Form 8R filings as applicable
- Process Form U5 filings as applicable
- File Form U4 amendments requesting qualifying examinations on the FINRA Gateway System
- Track Regulatory Element continuing education and escalate when necessary
- Submit individuals for NFA Proficiency exams, track completion and generate weekly reporting
- Maintain and reconcile the various registration databases and prepare registration reports as needed
- Keep informed of changes in registration requirements and implement new procedures accordingly; communicate licensing policies and procedures to the business
What do you need to succeed?
Must-have
- Bachelor’s Degree or equivalent work experience
- 2-4 years of experience in banking or financial services
Nice-to-have
- Working knowledge of MS Office (Word, Excel, PowerPoint)
- FINRA Gateway
- Form ADV, MSRB/Edgar and NFA ORS
- Strong interpersonal skills and ability to handle situations that may require escalation
- Problem solving abilities, customer service orientation with a high degree of professionalism
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.
- A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
- Leaders who support your development through coaching and managing opportunities.
- Ability to make a difference and lasting impact.
- Work in a dynamic, collaborative, progressive, and high-performing team.
- Opportunities to do challenging work.
- Opportunities to build close relationships with clients.
For Minnesota: The expected salary range for this particular position is $45,000-75,000, depending on your experience, skills, and registration status, market conditions and business needs.
You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.
RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
- Drives RBC’s high-performance culture
- Enables collective achievement of our strategic goals
- Generates sustainable shareholder returns and above market shareholder value
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:
250 NICOLLET MALL:MINNEAPOLIS
City:
Minneapolis
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-10-10
Application Deadline:
2025-11-28
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.