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.

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 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