Compliance Specialist

3 weeks ago

Montréal, Canada Richter Full time

**Richter Montreal Office**

**Overview**

Richter is a Business | Family Office that provides strategic advice on business matters and on families’ financial and personal objectives across generations. With close to 100 years of experience advising at the intersection of family and business, Richter has developed an integrated approach to help business owners find sustainable success. Whether business, personal, or both, Richter is uniquely positioned to address the needs of Canada’s most successful entrepreneurs, private clients, business owners and business families and help them chart a clear path to shape their legacy for the future. Founded in 1926, Richter’s 600-person multidisciplinary team continuously innovates to create value for our people, clients, and community in Canada and in the US.

**What we offer**:

- The chance to become a strategic business partner with our clients, building relationships directly with entrepreneurs and businesses to provide them with meaningful advisory services
- The opportunity to develop your career with the direct support of your managers and firm partners; and
- A culture that values work-life balance and mental health and well-being. Our firm has taken a fresh approach to these issues, offering a hybrid work environment with flexible hours and resources to support you in your personal journey.
- Investment in your continuing education and professional development through a variety of learning offerings and tuition reimbursement

**A day in the life**
- Perform compliance due diligence processes for client onboarding and for periodic update of client profiles.
- Conduct compliance internal controls, testing and verification.
- Conduct regular compliance related risk assessments.
- Monitor various employee activities, including personal trading and outside activities.
- Manage employee registrations and regulatory fillings.
- Assist with compliance related requests from clients and other departments.
- Stay abreast of relevant laws and regulations affecting the firm’s operations.
- Support the Compliance Manager in any amendments to the compliance manual, compliance processes, forms, and methodologies.
- Support the Compliance Manager in implementing new regulatory requirements, internal processes and compliance initiatives/projects.
- Participate in any projects handed assigned by Chief Compliance Officer

**About you**
- Fully bilingual in French and English
- College diploma (DEC); university degree preferred
- Canadian Securities Course preferred
- 2-3 years of work experience in a compliance function in financial or banking industry
- Advanced computer skills, including proficiency with MS Office (Word, PowerPoint Excel and Outlook) and the ability to learn new programs
- Strong organizational skills, prioritizing methods and multi-tasking skills
- Ability to work in a dynamic, demanding, high-pressure environment
- Problem solving skills
- Strong interpersonal skills
- Detail oriented and a high level of accuracy
- Ability to work as in a team
- Strong commitment to professional client service excellence

**What Richter offers you**
- Competitive group benefits which include group insurance, Health Spending Account, savings plans, and Employer Contribution Matching
- Employee and Family access to virtual healthcare network
- Employee and Family Assistance Programs, including consultations with mental health professionals
- Annual Health & Well-being Program
- Hybrid work Environment
- Competitive Performance Bonus
- Tuition Reimbursement
- Professional Dues Reimbursement
- CFE leave financial support
- Academic Incentives
- Talent referral bonus
- Client referral bonus
- Access to an on-demand concierge nannying, babysitting, and tutoring service
- Annual employee rewards and recognition

We are excited to meet motivated professionals who are looking for career growth in a mid-sized family minded firm and have a strong background in building and fostering relationships.

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