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.
THE OPPORTUNITY
We have an opportunity for a Compliance and Registrations Administrator to join our award-winning firm in the Vancouver office.
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- Reconcile and verify all registration fees withdrawn annually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
COMPETENICES
- Advising and Coaching – Use knowledge and relationships to assess the needs of internal or external stakeholders, come up with recommendations, and provide coaching or advice that helps them solve challenges, grow and/or reach their goals
- Audit – Assess, examine, and verify records and internal controls to ensure accuracy, transparency, and compliance with standards
- Business Partnering – Use our functional knowledge, relationships, and business acumen to collaborate with leaders and stakeholders and align our support to address their goals and challenges
- Policy Management – Envision, develop, draft, update, communicate, and manage organizational policies to ensure alignment, regulatory compliance, and effective practice in critical areas across the organization
- Regulatory Knowledge – Understand and apply relevant laws, regulations, and standards to meet legal and ethical requirements and reduce risk for clients and the organization
- Risk Assessment – Identify, analyze, and evaluate risks to make decisions and take actions that manage their likelihood and impact on achieving our objectives for the benefit of our clients, firm, and communities
- Training and Facilitation – Deliver training using appropriate facilitation methods or formats to foster new skills, abilities, or knowledge in participants
- 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
A culture of openness, collaboration and respect is foundational to our firm. We are a diverse, driven group of individuals who genuinely care about one another and encourage and appreciate each other’s contributions. We believe in rewarding team members and do this by providing a competitive total rewards package that is fair and equitable; mentorship programs; flexible work options; and a variety of professional development opportunities to expand your career. This role has an expected salary of $52,000 - $58,000/year, plus the potential for bonuses (with room for negotiation, commensurate with strongly related experience).
Our team is growing, and we’ve got room for one more if you’re interested. If this sounds like the environment you’d like to work in and you have the credentials and experience for this role, we invite you to submit a cover letter and resume by August 8, 2025.
Candidates must be legally eligible to work in Canada. Full disclosure of any restrictions must be disclosed at the time of expressing interest and supporting evidence provided prior to any potential offer of employment.
We appreciate your interest and thank you for taking the time to consider this opportunity. We will be in touch with individuals whose profiles most closely match what’s needed to be successful in this role.
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