Hi everyone,
I am having a little difficulty in finding NOC Code for the following job description. Not to sure if anyone has come across something like this.
Your guidance and help is really appreciated.
Securities Registrations Officer
• Process and submit applications for mutual fund and securities registrations, including renewals, extra provincial registrations and terminations.
• Prepare and submit documentation to the appropriate commissions to facilitate branch openings/closings and material changes to an individual’s registration
• Liaise with other departments to ensure all internal processes and changes are addressed in connection with regulatory filings
• Prepare National Registration Database (NRD) submissions for approval by the Registration Manager and Regulators
• Provide guidance to Advisors and other departments on registration and regulatory issues relating to licensing and regulatory rules such as NRD disclosures and deadlines and regulatory filings
• Analyze source material needed to create regulatory applications for new and terminating Advisors, Licensed assistants and Branch Managers, liaising with applications for additional information as required
• Liaise with regulators, Advisors & other departments to maintain all aspects of registration for MFDA and IIROC
Thank you.
I am having a little difficulty in finding NOC Code for the following job description. Not to sure if anyone has come across something like this.
Your guidance and help is really appreciated.
Securities Registrations Officer
• Process and submit applications for mutual fund and securities registrations, including renewals, extra provincial registrations and terminations.
• Prepare and submit documentation to the appropriate commissions to facilitate branch openings/closings and material changes to an individual’s registration
• Liaise with other departments to ensure all internal processes and changes are addressed in connection with regulatory filings
• Prepare National Registration Database (NRD) submissions for approval by the Registration Manager and Regulators
• Provide guidance to Advisors and other departments on registration and regulatory issues relating to licensing and regulatory rules such as NRD disclosures and deadlines and regulatory filings
• Analyze source material needed to create regulatory applications for new and terminating Advisors, Licensed assistants and Branch Managers, liaising with applications for additional information as required
• Liaise with regulators, Advisors & other departments to maintain all aspects of registration for MFDA and IIROC
Thank you.