Bring your compliance and registration expertise to Harbourfront Wealth in Vancouver, BC. This role focuses on NRD management and operational support within compliance administration.
As a Registrations and Compliance Coordinator, you will report to the Director of Compliance, playing a key role in maintaining regulatory compliance for the firm. Experience in processing registrations and strong communication skills are essential for this position. Candidates should be detail-oriented with the ability to interact effectively with regulators.
Key Responsibilities:
• Administer and track all registration activities
• Coordinate filing for new hires and compliance checks
• Conduct reviews of trade data for supervisory purposes
• Maintain documentation for ongoing compliance monitoring
• Support internal recordkeeping requirements
Requirements:
• Minimum of 2 years experience in financial services
• Experience with NRD and compliance processes
• Relevant ind...