Specialist, Registration and Permits - Québec City, Canada - Investia Financial Services Inc.

Description

Description

Sector: Compliance / Investia / Administration / Customer Service / Hybrid / Quebec City / Permanent / Full time / Start date: June 2024

Reporting directly to the Assistant Director, Compliance, the selected individual will have the key role in handling the day-to-day tasks related to registering new representatives while ensuring compliance with regulations and objectives. The team they will join consists of ten dedicated members, including four specialists focusing on registrations. In addition to fulfilling their core responsibilities, the successful candidate is expected to emerge as a valuable resource for the team and other departments, providing mentorship to less seasoned colleagues. Their energy and positive mindset are anticipated to motivate and significantly contribute to the team's triumph.

Main duties:

• Always abiding by regulations and compliance requirements,
• Overseeing the entire process of registering and welcoming new Mutual Fund Advisors;
• Managing Advisor supervision files, updating databases, engaging with Advisors, internal partners, and Regulatory Authorities;
• Conducting verification of external activities, including due diligence and disclosure to Regulatory Authorities;
• Collaborating with the Sales Communications group to ensure a seamless onboarding experience for new sales representatives. Providing direct support and effective communication with Advisors, internal and external partners, and Regulatory Authorities.
• Initiating and executing special projects assigned by the Deputy Director of Compliance or the Assistant Chief Compliance Officer. Taking charge of new projects and handling unforeseen situations;
• Contributing to reviewing, drafting, and implementing new procedures and documents utilized by the team and Advisors;
• Assisting other team members, employing a multitasking approach;
• Engaging in direct and effective communication with Consultants, internal and external partners;
• Actively participating in daily continuous improvement processes, applying Lean management principles, and proposing innovative ideas for enhanced outcomes and goal achievement.

Profile required:

• High school diploma;
• Proficiency in Excel;
• Familiarity with the Office suite;
• Curiosity and adaptability;
• Strong organizational, follow-up, and reporting skills;
• Capability to perform under pressure and adapt to evolving requirements in a dynamic setting;
• Demonstrated talent in customer service and administration;
• Flexibility and a collaborative spirit;
• Excellent verbal and written communication skills in both English and French, as a significant portion of daily tasks involve English. These tasks may encompass writing, verbal and written correspondence, as well as auditing.

Completion of the mutual funds course is mandatory after the probation period lasting for 6 months.