Registrations & Compliance Coordinator - #225230

Who We Are

Harbourfront Wealth is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing wealth management firm with over $16 billion in assets under administration, comprised of five integrated entities: CIRO dealer, investment counsel, asset manager, U.S. Registered Investment Advisor (RIA) and insurance company. At Harbourfront Wealth, our core values start with the belief that great people make great companies.

Career Opportunity

We currently have a career opportunity for a Registrations & Compliance Coordinator reporting to the Director of Compliance. This role will be based out of our head office in Vancouver, BC.

This role provides operational and administrative support to both the Registrations and Compliance functions, with primary responsibility for registrations-related activities. The successful candidate will bring working knowledge of the National Registration Database (NRD), registration requirements, and core compliance administration processes, and will contribute to the effective functioning of the firm’s regulatory framework.

Key Responsibilities

• Registrations & Licensing
• Serve as an Authorized Firm Representative (AFR) for National Registrations Database (NRD) activities.
• Coordinate and process registration filings for new hires, role changes, and termination.
• Conduct pre-registration and ongoing regulatory authorization checks.
• Monitor NRD submissions and regulatory correspondence; track status and communicate updates to internal stakeholders.
• Investigate and resolve NRD deficiencies, failed submissions, and regulatory information requests.
• Administer and track continuing education (CE), and post-licensing requirements, and renewal obligations.
• Coordinate errors and omissions (E&O) insurance coverage reviews and related documentation.
  
  

• Compliance Administration
• Support the Compliance function through data collection, aggregation, and reporting activities.
• Retrieve, prepare, and format trade data for supervision and surveillance purposes.
• Perform transaction reviews consistent with UMIR principles and internal supervisory procedures.
• Assist with ongoing compliance monitoring tasks and internal recordkeeping requirements.

The ideal candidate for this position has:

• 2+ years of experience in the financial service industry, preferably within a registrant firm.
• Hands-on experience with NRD, registrations processing, or licensing administration.
• Completion of CSC or equivalent industry coursework (additional courses an asset).
• Familiarity with dealer back-office operations and regulatory administration.
• Strong verbal and written communication skills, with the ability to interact professionally with regulators and internal stakeholders;
• High level of organization, accuracy, and follow-through;
• Proficiency in Microsoft Office applications (Excel, Word, Outlook)
  
  

Salary Range: $60,000- $75,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).

Diversity and Inclusion

Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.