Registration Administrator
Full Time
Operations
The Registration Administrator will provide administrative support to a national sales force distributing financial service products, with a focus on the mutual fund registrations of applicants. Administer and assist field agents to obtain mutual fund licenses and maintain the accuracy of WFG Securities Inc. registration records.
Responsibilities
- Facilitate and support initial, reactivation, and reinstatement applications for mutual funds licenses.
- Follow-up and document National Registration Database (NRD) submissions, including outside business activity (OBAs), address updates, financial disclosures, etc.
- Enter and record mutual fund registration terminations in the system and notify necessary parties.
- Perform NRD annual renewals.
- Participate in the Annual Disclosure process.
- Update of NRD training documentation.
- Update of various internal systems.
- Respond to inquiries from field, internal and external staff and regulatory bodies.
- Provide administrative support to field agents, and internal and external staff.
- Follow file management and record management procedures.
- Draft standard and non-standard correspondence as required.
- Initiate and participate in process and database improvements.
- Act in a registration support capacity for the Compliance department.
- Support projects and audits as requested.
Qualifications
- Two years of experience in an administrative support or related role
- Excellent written and verbal communication skills
- Interpersonal and customer service skills to build relationships with internal and external contacts
- Excellent organizational and multi-tasking skills
- Attention to detail
- Ability to work independently and as part of a team in a fast-paced environment
- Proficiency using MS Excel, Word, Outlook, PowerPoint
Preferred Qualifications
- Post-secondary education in a business field
- Experience in the insurance and/or mutual fund industry
- Experience with National Registration Database (NRD)
Working Conditions
- Office or hybrid office
Canadian Health and Work/Life Balance Benefits:
- Competitive Paid Time Off
- Ten (10) paid holidays per year
- Ten (10) sick days per year
- Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
- Parental Leave
- Adoption Assistance
- Employee Assistance Program
- College Coach Program
- Employee Resource Groups
- Inclusion and Diversity Programs
- Employee Recognition Program
- Referral Bonus Programs
- Peer Recognition Program (BRAVO)
United States Only Benefits Below: