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.

Registration Officer - 12 Month Contract

How does the role impact the organization?

As an integral member of the Registrations team, you will be responsible for processing Canadian and US individual and firm registrations, Continuing Education for Canadian registration and Canadian Insurance licensing.

What will your role be responsible for?

• Process registrations and updates electronically (on NRD and CRD) and in writing, while maintaining various in-house records;
• Keep abreast of industry changes and requirements for registrations and Continuing Education;
• Liaise with Regulatory bodies and in-house staff, both verbally and in writing, and respond to any queries;
• Maintain the Continuing Education (CE) database;
• Process life licensing applications, transfers and renewals and maintain the Life Licensing Database;
• Process Errors & Omissions (E&O) liability applications and administer monthly payroll chargebacks; Process weekly NRD reconciliations
• Assist with ad-hoc department projects; and

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?

To qualify for this opportunity you possess:

• Proficient in MS Office, with a preference in Excel and Access is an asset.
• Possess compliance or related branch/operations experience within the securities industry;
• Well-developed and proven customer service and interpersonal skills;
• Strong multitasking skills and the ability to work under pressure;
• Willingness to learn as the registrations program develops;
• Ability to meet tight regulatory deadlines;
• Identify inefficiencies and address them accordingly;
• Analyze and make sound judgment decisions; and
• Bilingual (French and English) is an asset.

Education/ Previous Experience Required:

• Registration and/or Compliance experience preferable; and
• A minimum of two (2) years of financial industry or related administrative experience.

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

Salary Range: $65,000-75,000 annually, in addition to competitive performance bonuses/incentives.

Actual compensation will be determined based on skills, experience, internal equity, and other job requirements.

This posting is for an existing vacancy.

At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all of 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 on the basis of 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.

We may use automated or AI-enabled tools to support parts of our recruitment and screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently, but they do not replace human decision-making.