Lead, Sr. Registrations Officer

WHAT IS THE OPPORTUNITY?

The Lead Senior Registration Officer is responsible for providing superior client service in order to ensure the business revenues and operations are not impacted by filing requests for registration within the established service levels. This includes ensuring applications for registration are filed in accordance with the regulatory requirements and investigating deficiencies raised by regulators about registration applications pending with the applicable regulators. Also, providing detailed advice to the business regarding registration requirements, both corporate and individual, in all provinces and territories. They are also responsible for mentoring and guiding Senior Registration Officers (SROs) and resolving escalations and complex files.

WHAT WILL YOU DO?

• Develop and maintain an in-depth knowledge of regulatory and compliance policies and guidelines as it relates to individuals and firms and act as subject matter expert for Registration regulations and regulatory changes, that impact timely, accurate filings and appropriate procedural changes.
• Responsible for analyzing and reviewing registration applications requiring approval by the various regulatory bodies, with attention to detail. This includes new applications, exemptions from registration requirements, changes in registration category and changes in branch location and supervision, and changes in registration information, ensuring regulatory requirements are met.
• Responsible for reporting of approvals, suspensions and deficiencies to the business unit supervisors and the individual registrants.
• Mentor and provide guidance to SROs, to ensure effective registration reviews are completed with Service Level Agreements for all Royal Bank of Canada business lines.
• Develop and maintain strong working relationships with our business partners and other stakeholders.
• Work as a liaison with regulators, as needed, for registration filings, complex registration matters and escalations. Attend to escalations and bring complex files to a close in a timely manner.
• Responsible for the data integrity that is entered into various databases. 
• Execute special projects as assigned.

WHAT DO YOU NEED TO SUCCEED?

 Must have:

• Post-Secondary education (University Degree or College Diploma).
• Minimum 5 years of financial industry experience, preferably in registration, either at a dealer member, another self-regulatory organization, securities commission or relevant experience where strong analysis and synthesis capacity were acquired.
• Deadline-driven and results-oriented; able to meet consistently high-quality standards while handling a variety of tasks and deadlines simultaneously. Ability to work in fast-paced high-volume environments.
• Detail oriented with strong analytical, research, organizational and problem-solving skills.
• Strong written and verbal communication skills.
   

Nice-to-have: 

• Previous experience as a manager and providing guidance to a team.
• Completion of exams or courses in the financial industry.
• Proficient on the National Registration Database.

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.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to do challenging work

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking

Additional Job Details

RBC CENTRE, 155 WELLINGTON ST W:TORONTOTorontoCanada37.5Full timeCHIEF LEGAL & ADMIN OFFICE GRPRegularSalaried2026-01-152026-02-13

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.