Wealth Compliance Specialist
2 weeks ago
At Richardson Wealth, we're committed to delivering exceptional results while maintaining a personal touch. As a leading Canadian wealth management organization, we're dedicated to empowering our clients and employees to thrive.
Job OverviewThe Wealth Compliance Advisor will play a critical role in ensuring our organization meets all regulatory requirements and maintains a strong compliance culture. This position will provide guidance and support to our branch management teams and advisors, ensuring they have the necessary tools and resources to excel in their roles.
Key Responsibilities- Provide expert advice and guidance on compliance-related policies, procedures, and best practices to branch management teams and advisors.
- Review and approve new account documentation for suitability, ensuring compliance with regulatory requirements.
- Collaborate with the marketing team to ensure proper approvals and compliance with marketing practices.
- Liaise with operations, compliance, and credit teams to resolve compliance-related issues.
- Develop and maintain an in-depth understanding of compliance requirements for the brokerage industry, sharing knowledge and best practices with the team.
- Facilitate regular conversations with branch managers, national sales, and the chief risk officer to discuss compliance-related issues and concerns.
- Play a key leadership role in training, developing, and enforcing compliance policies and procedures within the region.
- Act as the first point of escalation for compliance issues, escalating to branch managers and assistant branch managers as needed.
- Participate in audits and compliance reviews, conducting follow-up and coaching as required.
- Excellent communication and relationship management skills, with the ability to problem-solve, mediate, and lead.
- 3-5 years of experience in compliance or a related field at a CIRO-regulated investment dealer.
- Proficiency with Dataphile and PortfolioAid is an asset.
- Proficient in Microsoft Office Suite.
- Exercise good judgment in regulatory and supervisory matters.
- Ability to be proactive and communicate change in a fast-paced industry.
We're committed to creating a diverse, equitable, and inclusive environment where our employees can thrive. If you're innovative, self-driven, and client-centric, we'd love to hear from you.
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