Registration and Licensing Specialist

Registration and Licensing Specialist

Position Details:

• Hybrid position, with training to be completed either on-site or remotely.
• Monday to Friday schedule (35 hours per week).
• Variable working hours based on business needs: 8:00 a.m. to 4:00 p.m., 8:30 a.m. to 4:30 p.m., or 9:00 a.m. to 5:00 p.m.

Build the future with us

Are you driven by financial services industry and the importance of regulatory compliance and eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future? As a Registration and Licensing Specialist, you will play a key role in the end‑to‑end management of the registration and onboarding process for new mutual fund advisors.

This position is a great opportunity to showcase your skills and fully realize your potential within a caring and trustworthy company. Here, people and their development are at the heart of our priorities, fostering an environment that encourages collaboration and innovation.

What you’ll accomplish with us

As a Registration and Licensing Specialist, you’ll be at the core of our mission. Here are the main responsibilities:

• Ensure oversight of advisors’ supervision files, including updating databases and following up with Advisors, internal partners, and Regulatory Authorities, in compliance with applicable regulations and compliance requirements.

• Manage the full outside business activities (OBA) review process, from the receipt of disclosures to due diligence, including analysis, escalation when required, and disclosure to Regulatory Authorities.

• Communicate effectively with all stakeholders, including Advisors, internal partners (notably Sales teams such as Regional Vice Presidents, head office branch, commissions), external partners (fund companies, vendors), and Regulatory Authorities, to deliver high-quality work within required timelines.

• Demonstrate strong proficiency in using the National Registration Database (NRD) to control the processes under your responsibility, support other team members, and contribute to dealer projects, while developing and maintaining an internal and external network to facilitate project delivery and the resolution of specific situations.

• Actively contribute to the review, drafting, and implementation of procedures, as well as to the updating of documents and tools used by the team and Advisors, while supporting colleagues through a multitasking approach.

• Lead special projects and continuous improvement initiatives, whether assigned by the Assistant Director of Compliance and/or the Assistant Chief Compliance Officer or self-initiated, by actively participating in continuous improvement efforts (Lean principles), innovation, and the achievement of objectives.

What could accelerate your success in this role

We’re looking for someone who:

• Is known for their strong organizational skills, and attention to detail, with an excellent ability to maintain follow‑ups and reports and deliver high‑quality work, while demonstrating proficiency with Microsoft Office tools and the Univeris back‑office system.

• Stands out for their customer service orientation and team spirit, demonstrating flexibility, collaboration, and ease in interactions, both with colleagues and in an environment focused on supporting and assisting partners.

• Demonstrates strong adaptability, versatility, and priority‑management skills, enabling effective performance under pressure, responsiveness to changing requirements, efficient handling of urgent matters, and the ability to contribute to a variety of assignments.

• Is recognized for their proactive attitude, curiosity, and initiative, with a strong interest in the mutual fund industry; knowledge of this industry and completion of the Mutual Funds Course are considered assets, and the candidate is willing to complete this course within the first year of employment.

• Excellent verbal and written communication skills in both French and English

Why you’ll love working with us

• A work environment where learning and development merge with a collective pursuit of excellence.

• A healthy, safe, fair, and inclusive environment where potential can be freely expressed and developed.

• The opportunity to work in a hybrid environment, supported by flexibility and access to inspiring and innovative workspaces.

• Competitive benefits: Flexible group insurance, competitive pension plan, stock purchase plan, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, performance bonus, discounts on iA products, and much more!

Apply now and get ahead of your career, where your talent really belongs! 

Still unsure about applying?

At iA, we believe in potential and value diverse experiences. If this role inspires you, go ahead and apply – your place might be with us, and we want to get to know you!