Manager, Registrations

Richardson Wealth; Toronto; On-site; CAD 60,000 - 100,000; Full time

Job summary

Join a leading Canadian wealth management organization that values exceptional talent and a client-centric approach. As a Manager, Registrations, you will play a crucial role in navigating industry regulations and ensuring compliance within the firm. Your expertise will guide a dedicated team, fostering growth and efficiency through innovative solutions. With a commitment to professional development, this role offers a unique opportunity to thrive in a supportive environment. If you're ready to make an impact and grow with a forward-thinking company, we want to hear from you!

Qualifications

• Minimum 5 years related experience within the financial industry.
• Knowledge of securities industry regulations and their application.

Responsibilities

• Manage and process registration escalations and exemptions requests.
• Lead the team and manage day-to-day staffing oversight.

Skills

Excellent written and oral skills

Service-oriented

Sound judgment and integrity

Proactive thinking

Self-motivated

Education

Post-secondary degree/diploma

Canadian Securities Course (CSC)

Conduct and Practices Handbook Course (CPH)

Tools

Dataphile

Salesforce

Microsoft Office Suite

Job description

January 28, 2025

About Us:

As a leading Canadian wealth management organization, Richardson Wealth offers the personal touch of a boutique firm while delivering big results. With offices across the country, we are home to some of Canada’s best investment advisors. We’ve embarked on an exciting growth phase – a multi-year transformational journey to enhance our entrepreneurial, high-performing, advisor-centric culture.

Where we’re going:

We want to be the brand of choice for Canada’s top advisors and their high-net-worth clients. We also have an ambitious growth strategy to triple our Assets under Administration (AUA) to $100 billion by 2027.

To reach our goals, we are making strategic investments in technology, real estate and, most importantly, our people.

Position Overview
Reporting to the VP, Regulatory Change, the Manager, Registrations is a resource for employees and other industry-related professionals regarding industry regulations that must be adhered to within the firm.

Duties and Responsibilities

1. Manage and process registration escalations and exemptions requests
2. Main contact with CIRO and securities commissions for all registrations matters
3. Lead the team and manage day-to-day staffing oversight including coaching, training, and mentorship
4. Oversee registration processes. Accountable to ensure that filings are completed in a timely manner including all NRD filings such as NOTs, disciplines, terms and conditions, etc.
5. Provide guidance and support to branch management regarding Registration policies and procedures
6. Subject matter expert on registrations – strategic initiatives, policy updates, training, and communications
7. Effectively communicate with Senior Management and Executives regarding concerns and/or requirements
8. Management reporting of key metrics, including enterprise conflicts tracking and administration
9. Manage conflicts disclosure and tracking as it relates to employees, entities, products, compensation, etc.
10. Oversee the tracking and review of employee Outside Business Activities, tracking and monitoring for terms and conditions
11. Assist with regulatory requests when required
12. Oversight and accountability for the annual canvassing of registrations, including Outside Business Activities
13. Accountability for the accurate tracking and reporting of CE for all registrants and the firm (includes approving content to meet IIROC standards)
14. Strategic oversight and commitment to creating efficiencies and more digital solutions (launch of a registration portal, with advisor access)
15. Other projects as assigned

Qualifications

1. Excellent written and oral skills
2. Minimum 5 years related experience within the financial industry
3. Service-oriented with an ability to remain professional under pressure
4. Sound judgment and integrity
5. Knowledge of securities industry regulations and their application
6. Ability to think and act proactively
7. Self-motivated and interested in ongoing learning and professional development
8. Proficient with Dataphile and Salesforce is an asset
9. Proficient with Microsoft Office Suite

Education

1. Post-secondary degree/diploma an asset
2. The completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH)

Why Apply:

Our firm is only as good as the people who work here. Our employees are exceptional because they combine in-depth expertise with enthusiasm and empathy. From our front office talent to our colleagues behind the scenes, we have one focus: to ensure our people thrive here more than anywhere else. Are you innovative, self-driven, and client-centric?

If so, we’re ready to invest in you.

Richardson Wealth is an equal opportunity employer and committed to providing a diverse, equitable, and inclusive environment. We are happy to meet your individual needs in keeping with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act. Candidates may request accommodation at any point during the interview process.

We are a proud partner of Pride at Work Canada.