Continuing Education Specialist

Job Summary

Job Description

What is the opportunity?

The role will be responsible for the tracking of continuing education (“CE”) / post licensing requirements applicable to securities and insurance licensed individuals for the following business units: RBC Dominion Securities Inc.(DS Retail), RBC Direct Investing Inc. (DI) and RBC Wealth Management Financial Services Inc. (WMFS) and or Royal Mutual Funds Investment.

What will you do?

• Responsible for the tracking of continuing education (“CE”) / post licensing requirements applicable to securities and insurance licensed individuals for the following business units: RBC Dominion Securities Inc.(DS Retail), RBC Direct Investing Inc. (DI) and RBC Wealth Management Financial Services Inc. (WMFS) and or Royal Mutual Funds Investment.
• Manage the CE / post-licensing process for the business units in all provinces and territories.
• Ensure CE / post licensing requirements for securities and insurance licensed individuals are met in accordance with applicable regulatory requirements.
• Provide superior client service to mitigate risk of impact to business units’ revenue and/or operations by ensuring that all individuals have successfully fulfilled their CE / post licensing requirements.
• Communicate all applicable CE / post licensing requirements guidelines (and subsequent changes) to the business units and their licensed employees.
• Activate and maintain CE / post licensing profiles for registered individuals and ensure accuracy of requirements in accordance with regulatory policies.
• Respond to written and telephone inquiries from registered individuals and other internal staff on CE / post licensing requirements.
• Maintain knowledge of regulatory and compliance policies as it relates to individuals and their CE / post licensing requirements.
• Partner with the business units to provide guidance on CE/PLR requirements.
• Maintain accurate files, both in hard copy and electronically on the internal and external databases.

What do you need to succeed?

• Post Secondary education
• Minimum 3 years of experience working in the Registrations Department or Training Department of a large broker dealer or financial institution.
• Knowledge of securities rules, regulations and by-laws related to registration, continuing education and post licensing requirements.
• Ability to work independently, resolve issues and attend to detail.
• Ability to prioritize and adhere to strict deadlines
• Excellent verbal and communication skills
• Excellent analytical and problem solving skills
• Excellent technical skills – Excel, Word, Outlook, internet

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.

• An opportunity to do great and meaningful work with lasting impact
• Leaders who support your development through coaching and managing opportunities
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to take on progressively greater scopes of work
• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

LAW AND COMPLIANCE

Job Type:

Contract (Fixed Term)

Pay Type:

Salaried

Posted Date:

2024-10-02

Application Deadline:

2024-10-17

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.

We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

Join our Talent Community

Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.

Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.

Read Full Description