Securities Registrations Specialist

What is the opportunity?

The Registrations Specialist is responsible for handling all aspects of securities, commodities, Municipal Advisor and investment advisor registration respective to individuals associated with the US broker-dealers under RBC Capital Markets, LLC and its affiliates. This position covers the US broker-dealer across all business lines.

This role is a fully remote (work from home) opportunity.

What will you do?

• Prepare and submit all initial applications for individual securities, investment adviser, municipal advisor and commodities licenses and ensure that all employees are appropriately licensed to conduct their job responsibilities
• Coordinate the submission of branch and entity registration forms, and termination submissions for various firm departments
• Process consent and disclosure checks for all potential new hires who will be associated to the US broker-dealer
• Process initial Form U4s and relicense transfers for registered employees who join RBC Capital Markets, LLC and its affiliates
• Amend employee registrations records with respect to customer complaints, arbitrations, litigations and internal reviews/investigations
• Communicate with FINRA, NFA and the various state regulators to follow-up on any applicable registrations matters
• Research and correct licensing deficiencies
• Complete Form U4 updates as applicable for name changes, address changes and outside business activities
• Amend Form U4 for required disclosures, such as bankruptcy, lien, judgement, garnishments, regulatory and criminal events.
• Prepare and submit Form 8R filings as applicable
• Process Form U5 filings as applicable
• File Form U4 amendments requesting qualifying examinations on the FINRA Gateway System
• Track Regulatory Element continuing education and escalate when necessary
• Submit individuals for NFA Proficiency exams, track completion and generate weekly reporting
• Maintain and reconcile the various registration databases and prepare registration reports as needed
• Keep informed of changes in registration requirements and implement new procedures accordingly; communicate licensing policies and procedures to the business

What do you need to succeed?

Must-have

• Bachelor’s Degree or equivalent work experience
• 2-4 years of experience in banking or financial services

Nice-to-have

• Working knowledge of MS Office (Word, Excel, PowerPoint)
• FINRA Gateway
• Form ADV, MSRB/Edgar and NFA ORS
• Strong interpersonal skills and ability to handle situations that may require escalation
• Problem solving abilities, customer service orientation with a high degree of professionalism

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

For Minnesota: The expected salary range for this particular position is $45,000-85,000, depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC’s high-performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value

Job Skills

Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.