Manager – Securities Registration

Bachelor’s Degree
5-7 or more years of experience in registrations compliance for a broker dealer firm or bank
Knowledge of FINRA (particularly Rule 1120), SEC, and MSRB expectations, rules, and regulations
Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer
Experience in licensing and registrations roles at a broker-dealer
Experience managing people within a small team
Knowledge of NFA rules and regulations

Assist in preparation of accurate and timely Form BD filings for RBC broker dealers, while escalating and resolving any inconsistencies
Prepare and submit Form BR filings and address inquiries from internal parties, including Audit, Compliance, and Business partners
Preparation and oversight of Form MA and Form ADV amendments and annual filing
Manage NFA 7R amendments and annual filings for the SWAP Dealer and RBCCM, LLC
Oversee and assist where necessary in pre-hire onboarding process
Assist with the bi-annual permissive attestation process, ensure discrepancies are remediated
Assist with the Regulatory Supervisor attestation process, ensure discrepancies are remediated
Assist with the execution on the design and delivery of the new registration system, alongside key stakeholders within T&O
Understand and manage all Licensing & Registrations systems, including their upstream and downstream dependencies (i.e., SAP)
Contribute to various annual user access reviews, inclusive of FINRA Contact System updates
Mentor, train, and guide five employees, inclusive of identifying additional tools and/or courses that may be necessary for their professional development
Oversee the five employees’ daily responsibilities as necessary