Compliance Specialist

4 weeks ago

Montreal, Quebec, Canada Richter Full time

Job Summary

The Compliance Specialist – Client Account and Compliance Services role at Richter is a dynamic position that requires a strong understanding of regulatory requirements and excellent client service skills. As a key member of the RFO team, you will assist the Client Relationship Manager (CRM) with compliance-related matters, administrative tasks, and provide daily portfolio maintenance, administration, and superior client service.

Key Responsibilities

  • Review and maintain client records, ensuring compliance with regulatory requirements.
  • Assist with client meeting preparation, ensuring client documentation is up to date.
  • Support new client onboarding, preparing compliance documents and ensuring timely completion of money manager compliance requests.
  • Maintain an in-depth understanding of applicable regulatory requirements and support the Compliance Manager in process improvements.
  • Provide exceptional client service, assisting the CRM throughout the client onboarding process, obtaining and recording client data, and ensuring timely fulfillment of client requests.
  • Investigate and resolve client issues in a timely manner.
  • Complete and coordinate transactional requests with Money Managers and custodians, preparing and managing paperwork related to investments.
  • Work with the custodian to manage client assets under discretionary management, identifying and resolving Money Manager inquiries in a timely manner.
  • Communicate changes and updates to team members, contributing to process improvement initiatives and best practices development.

Requirements

  • College diploma (DEC) or university degree.
  • Canadian Securities Course or IFIC certification.
  • 3-5 years of experience in the financial, brokerage, and custodian industry, particularly in the investment sector.
  • Advanced computer skills, including proficiency in MS Office (Word, PowerPoint, Excel, and Outlook) and ability to learn new programs.
  • Excellent written and verbal communication skills in French, with exceptional grammar, spelling, and proofreading skills. English is considered an asset.
  • Strong organizational skills, prioritizing methods, and multi-tasking.
  • Ability to work in a dynamic, demanding, high-pressure environment.
  • Problem-solving skills.
  • Strong interpersonal skills.
  • Detail-oriented and high level of accuracy.
  • Ability to work in a team.
  • Strong commitment to professional client service excellence.

What Richter Offers

  • Competitive group benefits, including 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.

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