Licensing and Registration Officer

Were looking for a Licensing and Registration Officer to join our Integrated Compliance Services this role you will support the team in performing essential functions such as managing all aspects of registration and licensing with various regulators across Canada and the United States. You will be responsible for coordinating registration filings for licensed supervisors officers directors branch managers advisors licensed assistants and branch locations ensuring compliance with all regulatory requirements.

Position Responsibilities:

Operational and Process Management

• Process all business location changes including branch office openings closings and changes in branch office supervision.

• Ensure Corporate and Firm renewals including extra-provincial Canada and U.S. renewals are filed in a timely manner and that files are updated accordingly.

• Maintain data integrity and ensure it is entered into various databases within acceptable timeframes.

• Ensure that all supporting documents are properly placed in the appropriate folders to comply with internal firm policies as well as regulatory requirements as outlined in the company document retention policy.

• Assist with the reconciliations and allocate the NRD fees and penalties to the branches.

• Respond to detailed written and verbal inquiries from regulators registrants and internal staff in an accurate and professional manner within acceptable timeframes.

• Maintain supporting documents on file for audit purposes.

• Provide regulatory licensing guidance to registrants in regard to new applications change of status other material changes Errors & Omissions (E&O) renewals and terminations.

• Provide detailed registration advice to the business and respond to registration inquiries both corporate and individual.

• Develop and maintain an in-depth knowledge of regulatory and compliance policies and guidelines and provide the relevant information updates to registrants regarding procedural and regulatory changes.

Regulatory Compliance Oversight

• Ensure that the firm and all its supervisors officers directors salespersons and branches are properly licensed with the appropriate securities commissions and regulatory bodies.

• Prepare and submit registration applications amendments and notices with the appropriate regulatory bodies.

• Ensure all the licensing/registration information is accurate and current and that the database matches the information on the regulatory permanent record of the firm and its registrants on the NRD FINRA CRD and IAPD.

• Ensure that all registrants are properly licensed with appropriate regulator(s) in a timely manner based on Service Level Agreements (SLAs).

• Responsible for ensuring applications are filed in accordance with regulatory requirements for all security applications reactivations and reinstatements of registration changes in registration categories change in status renewals and terminations.

• Contribute to the development of policies and procedures within the Securities Registration Compliance team by reviewing and updating the registration procedure manuals to ensure practices and standards are in line with the national rules regulations and policies.

Stakeholder Management

• Act as a liaison with Business Development on matters that relate to individual and the firm registrations.

• Establish and maintain relationships with internal departments and regulators.

• Provide superior client service to ensure the business revenues and operations are not impacted by filing requests for registration within the established service levels.

Ad hoc Assignments

• Perform ad hoc assignments as needed. For example assistance may be required relating to a regulatory request report or audit.

Businesses Supported

• Securities Registration Compliance

Required Qualifications:

• Minimum of 2 years of experience in dealer back-office operations with 3-5 years of industry experience. Strong understanding of CIRO/FINRA dealer business and comprehensive knowledge of securities and insurance industry regulations.

• Bachelors degree in accounting legal finance business or related fields. Industry certification is preferred.

Preferred Qualifications:

• Operational Management: Proven ability to manage and process registration and licensing activities including handling business location changes renewals applications and compliance with regulatory requirements. Skilled in maintaining data integrity and document organization for audit purposes.

• Communication and Stakeholder Management: Strong ability to communicate complex information clearly both verbally and in writing. Effective at liaising with internal departments regulators and business development to ensure smooth operations and client service.

• Analytical and Organizational Skills: Excellent research investigative and analytical abilities. Strong time management attention to detail and project management skills with flexibility and adaptability to change.

• Technical Proficiency and Professionalism: Comfortable with Office 365 applications. Demonstrated ability to work independently and as part of a team maintaining high ethical standards. Bilingualism (English & French) is an asset.

When you join our team:

• Well empower you to learn and grow the career you want.

• Well recognize and support you in a flexible environment where well-being and inclusion are more than just words.

• As part of our global team well support you in shaping the future you want to see.

About Manulife and John Hancock

Manulife Financial Corporation is a leading international financial services provider helping people make their decisions easier and lives better. To learn more about us visit is an Equal Opportunity Employer

At Manulife/John Hancock we embrace our diversity. We strive to attract develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment retention advancement and compensation and we administer all of our practices and programs without discrimination on the basis of race ancestry place of origin colour ethnic origin citizenship religion or religious beliefs creed sex (including pregnancy and pregnancy-related conditions) sexual orientation genetic characteristics veteran status gender identity gender expression age marital status family status disability or any other ground protected by applicable law.

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process contact .