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Securities Registration is a specialized unit within the Advisory Services Compliance department, of both Manulife Securities Incorporated (MSI), a registered investment dealer and Dealer Member of the Investment Industry Regulatory Organization of Canada, and Manulife Securities Investment Services Inc. (MSISI), a registered mutual fund dealer and Member of the Mutual Fund Dealers Association of Canada. The unit also provides services to Manulife Investment Management and its registered portfolio managers and salespersons. Securities Registration is responsible for registration filings for licensing of Supervisors, Officers, Directors, Branch Managers, Portfolio Managers, Advisors, Salespersons, Licensed Assistants and branch locations of the dealers ensuring all regulatory requirements pertaining to licensing are met. Reporting to the Manager, Securities Registration, the Registration Officer facilitates all aspects of registration/licensing with the various regulators, including the Provincial and Territorial Securities Commissions, US State Securities Regulators and IIROC. The Registration Officer acts as a liaison between financial advisors, senior management and regulators.
Ensure that the firms and all its supervisors, officers, directors, portfolio managers, salespersons and branches are properly licensed with the appropriate securities commissions and regulators.
Prepare and submit registration applications, amendments and notices with the appropriate regulatory bodies.
Assist new applicants in the registration application process.
Provide regulatory licensing guidance to registrants in regard to new applications, change of status, other material changes, and E&O renewals and terminations.
Provide detailed insurance licensing advice to dealer registrants.
Maintain supporting documents on file for audit purposes.
Ensure all the licensing/registration information is accurate and current and that the Database matches the information on the permanent record of the firm and its registrants on the National Registration Database.
Assist with the reconciliations and allocate the NRD fees and penalties to the branches.
Provide detailed registration advice to the business and respond to registration inquiries, both corporate and individual.
Provide superior client service in order to ensure the business revenues and operations are not impacted by filing requests for registration within the established service levels.
Responsible for ensuring applications are filed in accordance with the regulatory requirements for all securities applications. This may include but not limited to new applications, reactivations and reinstatements of registrations, changes in registration categories, change in status, renewals and terminations.
Ensure that all registrations are properly licensed with appropriate regulator(s) in a timely manner based on Service Level of Agreements (SLA’s)
Process all business location changes, including Branch office openings and closings and changes in branch office supervision.
Ensure all Corporate and Firm renewals including, extra-provincial and US renewals are filed in a timely manner and that files are updated accordingly.
Act as a liaison with Business Development, on matters that relate to individual and the firm registrations.
Develop and maintain an in-depth knowledge of regulatory and compliance policies and guidelines and provide the relevant information updates to registrants regarding procedural and regulatory changes.
Establish and maintain relationships with internal departments and regulators.
Contribute to the development of policies and procedures within the Registrations Department, by reviewing and updating the Registration Procedure manuals and to ensure practices and standards are in line with the national rules, regulations and policies.
Maintain data integrity and ensure it is entered into various databases within acceptable timeframes.
Ensure that all supporting documents are properly filed /placed in the appropriate folders to comply with internal firm policies as well as regulatory requirements, as outlined in the company document retention policy.
Respond to detailed written and telephone inquiries from regulators, registrants and internal staff in an accurate and professional manner, within acceptable timeframes.
Research, develop, coordinate, execute and manage special projects that are assigned by the reporting manager.
Job Requirements (Knowledge/Skills/Competencies):
5+ years’ experience with securities registrations, including IIROC, provincial securities commissions
Bachelor's Degree/College Diploma
Industry certification is preferred
Strong knowledge of the rules and regulations governing the securities industry
Solid ability to communicate complex information with the ability to clearly explain verbally and in writing issues and circumstances to all levels of staff and management
Ability to interact effectively with management and counterparts in other business areas
Excellent customer service skills and negotiation/conflict resolution skills.
Strong time management and project management skills
Attention to detail
Excellent organizational, research, investigative and analytical skills
Ability to be flexible and adaptable to change
Excellent knowledge of administrative processes and procedures
Proven ability to work as a team player as well as the ability to work independently with minimum supervision
Positive attitude, strong work ethic and works well under pressure
Professional attitude and adherence to high ethical standard
Comfortable working with a wide variety of internal information systems
Excellent PC skills (Word, Excel, Outlook, Adobe Acrobat, One Note etc.)
Bilingualism (English & French) an asset
What we bring
A bold ambition and set of goals to drive transformation in our industry
A mission for “Decisions made easier. Lives made better.”
A leadership team dedicated to your growth and success
Our best. Every day.
If you are ready to unleash your potential it’s time to start your career with Manulife/John Hancock.
Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better. With our global headquarters in Toronto, Canada, we operate as Manulife across our offices in Canada, Asia, and Europe, and primarily as John Hancock in the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions. At the end of 2019, we had more than 35,000 employees, over 98,000 agents, and thousands of distribution partners, serving almost 30 million customers. As of March 31, 2020, we had $1.2 trillion (US$0.8 trillion) in assets under management and administration, and in the previous 12 months we made $30.4 billion in payments to our customers. Our principal operations are in Asia, Canada and the United States where we have served customers for more than 155 years. We trade as 'MFC' on the Toronto, New York, and the Philippine stock exchanges and under '945' in Hong Kong.
Manulife is an equal opportunity employer. We strive to attract, develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment, retention and advancement and we administer all of our practices and programs based on qualification and performance and without discrimination on any protected ground.
It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will consult with applicants contacted to participate at any stage of the recruitment process who request any accommodation. Information received regarding the accommodation needs of applicants will be addressed confidentially.