At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together .

Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Senior Registration Officer How does the role impact the organization? Raymond James Ltd. is seeking a Senior Registration Officer to join our team at our Toronto office. Reporting to the Senior Manager, Registrations, you will be responsible for providing superior client services to ensure that our registrants and not impacted by filings requests for registration within the prescribed timelines. Understand and provide insight into regulatory changes that impact Registrations and result in any procedural changes. Contribute to the development of policies and procedures within the Registration department.

What will your role be responsible for?

• Ensuring applications for registrations are filed in accordance with the regulatory requirements and investigating deficiencies raised by regulators.
• Providing detailed advice to the business regarding registration requirements, both corporate and individual, in all provinces and territories and the states for CIRO and FINRA
• Responsible for analyzing all registration applications requiring approval by the various regulatory bodies. This includes, but not limited to new applications, exemptions applications, changes in registration category, snowbird exemptions, branch supervision changes
• Responsible for reporting of approvals, suspensions and deficiencies to the business and the individual registrants
• Responsible in ensuring Continuing Education (CE) requirements are managed
• Responsible in managing Errors & Omissions (E&O) liability applications.
• Responsible for updating and maintaining firm and branch registration as needed with the applicable regulators. Ensuring that we meet the applicable requirements within the prescribed timelines.
• Support and Training to the Registration Officers
• Work as a liaison with the Regulators as required for complex registrations matters and escalations including officer applications, UDP and CCO filings
• Identify inefficiencies and provide solutions to streamline processes for the registration team and business
• Liaise with internal associates and Regulatory bodies, both verbally and in writing, and respond to ad-hoc queries;
• Keep abreast of industry changes and requirements for registrations and Continuing Education;
• Assist in the development of an audit program within the registration department
• Lead in Registrations and Compliance related projects as assigned.

What can you expect from us? Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package. Our benefits range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more! We also support internal promotion and community involvement.

What do we expect from you?

• 5+ years working in a Registration department at a dealer member or self-regulatory organization or securities commission
• Good understanding of CIRO Rules and related policies and instruments
• Must be proficient on NRD (National Registration Database)
• Have a well-developed and proven customer service and interpersonal skills;
• Good analytical and problem-solving skills
• Good file management and organizational skills
• Be a strong multi-tasker and have the ability to work under pressure;
• Recognize inefficiencies and address accordingly.
• Ability to work proactively and independently in order to prioritize and complete tasks within established timelines
• Maintain a high level of customer service in dealing with confidential information in a sensitive manner.
• Be proficient with MS Office (focusing on Word, Excel and Outlook);

We encourage our associates at all levels to:

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all our Associates. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture. The Company is an equal opportunity employer and makes all employment decisions based on merit and business needs.

Here at Raymond James we demonstrate our commitment to ensuring equal opportunities for all candidates. To request accommodations, candidates are instructed to contact Human Resources via email at recruitment@raymondjames.ca. By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.

Job Operations

Primary Location CA-ON-Toronto-Toronto

Organization Registrations

Schedule Full-time

Status Permanent Full-Time