Compliance and Registrations Administrator

Odlum Brown Limited; Vancouver; On-site; CAD 52,000 - 58,000; Full time

Job summary

A leading financial services firm in Vancouver seeks a Compliance and Registrations Administrator. This role requires attention to detail and strong client service experience. Responsibilities include managing securities registrations and liaising with regulatory bodies. Ideal candidates have 2-3 years in financial services. The position offers $52,000 - $58,000 annually, with bonuses and flexible work options.

Benefits

Competitive total rewards package

Mentorship programs

Flexible work options

Professional development opportunities

Qualifications

• Minimum of 2 to 3 years of related industry or administrative experience.
• Compliance or registrations experience preferred.
• Excellent verbal and written communication skills.

Responsibilities

• Facilitate, coordinate, and support the transfer and onboarding of new hires.
• Conduct securities registration checks for new team members.
• Provide guidance to registrants on registration and regulatory issues.

Skills

Attention to detail

Client service experience

Strong communication skills

Time-management

Proficiency in MS 365

Education

Completion of Canadian Securities Course

Understanding of legal documentation

Tools

National Registration Database

Broadridge Dataphile

Job description

Compliance and Registrations Administrator

Join to apply for the Compliance and Registrations Administrator role at Odlum Brown Limited

Compliance and Registrations Administrator

13 hours ago Be among the first 25 applicants

Join to apply for the Compliance and Registrations Administrator role at Odlum Brown Limited

Get AI-powered advice on this job and more exclusive features.

Who We Are

Anchored in our purpose to help clients achieve their financial goals, Odlum Brown has remained an independent, full-service investment firm for over 100 years. Wholly owned by its team members, the firm continues its tradition of leadership in the financial community as one of BC’s most respected investment firms.

Who We Are

Anchored in our purpose to help clients achieve their financial goals, Odlum Brown has remained an independent, full-service investment firm for over 100 years. Wholly owned by its team members, the firm continues its tradition of leadership in the financial community as one of BC’s most respected investment firms.

THE OPPORTUNITY

We have an opportunity for a Compliance and Registrations Administrator to join our award-winning firm in the Vancouver office.

What You’ll Do

The ideal candidate has experience in a compliance and / or registrations role in the investment or banking industry, who is looking for variety and growth opportunities. They have high attention to detail and strong client service experience. This role reports to the Chief Compliance Officer and works closely with Compliance Officers, Investment Advisors, Investment Assistants, and other departments within our Client Services operations.

As a Registrations Administrator, you are responsible for obtaining and maintaining securities registrations and ensuring compliance rules and regulations are met. Your key accountability will be to manage and maintain all aspects of registration and licensing with various regulatory bodies, including the Canadian Investment Regulatory Organization (CIRO), provincial Securities Commissions and U.S. Securities Regulators (FINRA and the SEC). You will also have the opportunity to develop skills in other areas of regulatory compliance.

Responsibilities

• Facilitate, coordinate and support the transfer and onboarding of new hires
• Conduct securities registration checks for new team members
• Administration of continuing education credits
• Liaise with registrants and regulators on registrations, licensing, continuing education and compliance
• Provide guidance to registrants on registration and regulatory issues
• Process annual firm, registrant, and branch securities registration renewals
• Reconcile and verify all registration fees withdrawn annually
• Develop and generate new and existing reports
• Execute regulatory disclosures and material changes to registrant’s records relating to outside activities, legal, criminal, and financial issues within defined timelines
• Keep abreast of industry changes and requirements for registrations and continuing education
• Develop recommendations and solutions for continuous improvement to procedures and policies
• Collaborate with other departments on a daily basis Participate in various projects and initiatives contributing to the firm

COMPETENICES

Advising and Coaching – Use knowledge and relationships to assess the needs of internal or external stakeholders, come up with recommendations, and provide coaching or advice that helps them solve challenges, grow and / or reach their goals

Audit – Assess, examine, and verify records and internal controls to ensure accuracy, transparency, and compliance with standards

Business Partnering – Use our functional knowledge, relationships, and business acumen to collaborate with leaders and stakeholders and align our support to address their goals and challenges

Policy Management – Envision, develop, draft, update, communicate, and manage organizational policies to ensure alignment, regulatory compliance, and effective practice in critical areas across the organization

Regulatory Knowledge – Understand and apply relevant laws, regulations, and standards to meet legal and ethical requirements and reduce risk for clients and the organization

Risk Assessment – Identify, analyze, and evaluate risks to make decisions and take actions that manage their likelihood and impact on achieving our objectives for the benefit of our clients, firm, and communities

Training and Facilitation – Deliver training using appropriate facilitation methods or formats to foster new skills, abilities, or knowledge in participants

Knowledge And Experience

Minimum of 2 to 3 years of related industry or administrative experience in financial services or banking

Understanding of legal documentation is an asset, with compliance or registrations experience preferred

Strong attention to detail with the ability to manage numerous filings independently

Strong MS 365 (Word, Excel, and Outlook)

Ability to establish and maintain strong working relationships with internal and external stakeholders

Excellent verbal and written communication skills

Superior time-management, multi-tasking, and organizational skills meeting set deadlines

Experience with National Registration Database and Broadridge Dataphile platforms is an asset

Completion of Canadian Securities Course, Conduct and Practices Handbook Course or other investment-related courses is an asset

What We Offer

A culture of openness, collaboration and respect is foundational to our firm. We are a diverse, driven group of individuals who genuinely care about one another and encourage and appreciate each other’s contributions. We believe in rewarding team members and do this by providing a competitive total rewards package that is fair and equitable; mentorship programs; flexible work options; and a variety of professional development opportunities to expand your career. This role has an expected salary of $52,000 - $58,000 / year, plus the potential for bonuses (with room for negotiation, commensurate with strongly related experience).

Our team is growing, and we’ve got room for one more if you’re interested. If this sounds like the environment you’d like to work in and you have the credentials and experience for this role, we invite you to submit a cover letter and resume by August 8, 2025 .

Candidates must be legally eligible to work in Canada. Full disclosure of any restrictions must be disclosed at the time of expressing interest and supporting evidence provided prior to any potential offer of employment.

We appreciate your interest and thank you for taking the time to consider this opportunity. We will be in touch with individuals whose profiles most closely match what’s needed to be successful in this role.

Seniority level

Seniority level

Entry level

Employment type

Employment type

Full-time

Job function

Job function

Finance and Sales

Referrals increase your chances of interviewing at Odlum Brown Limited by 2x

Sign in to set job alerts for “Compliance Administrator” roles.

Anti-Money Laundering Compliance Officer

Surrey, British Columbia, Canada 3 days ago

Maple Ridge, British Columbia, Canada 8 hours ago

Burnaby, British Columbia, Canada 2 weeks ago

Legal Administrative Assistant and Executive Assistant

Delta, British Columbia, Canada 1 month ago

Surrey, British Columbia, Canada 3 weeks ago

Delta, British Columbia, Canada 1 month ago

Burnaby, British Columbia, Canada 3 weeks ago

Langley, British Columbia, Canada 1 month ago

Burnaby, British Columbia, Canada 2 days ago

Burnaby, British Columbia, Canada 3 weeks ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

J-18808-Ljbffr