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Senior Compliance Advisor

1 week ago

Toronto, Ontario, Canada Richardson GMP Ltd. Full time

About This Role

This leadership position requires a seasoned professional to provide senior oversight for branch compliance at a national level. The ideal candidate will have experience in a full-service brokerage environment, including supervision, and demonstrated expertise in coaching and helping Advisors with compliance matters.

Duties and Responsibilities

  1. Lead a team of WCAs in managing national-level consistent regulatory compliance across the network, including performance management, coaching, training, and mentorship.
  2. Provide leadership and guidance to support regulatory change for all branches, working closely with Branch Managers and delegations raised through the network.
  3. Collaborate with Compliance in creating and implementing policies and processes around regulatory change.
  4. Ensure consistent and practical regulatory supervision at a national level.
  5. Actively lead and participate as a change agent for corporate initiatives and changes to the regulatory landscape, representing the interests of branches.
  6. Support readiness preparation for and remediation of internal and regulatory audits.
  7. Develop a National operating model that provides oversight and accountability for effective execution of branch compliance.
  8. Nurture a culture of compliance and enforce the implementation of company policies, programs, and processes to ensure better team and client experience.
  9. Support governance framework for conflicts of interest as it relates to employees, referrals, compensation, etc. across the enterprise.
  10. Guide Advisors regarding compliance policies and procedures, effectively communicating requirements and ensuring the efficacy of the program.
  11. Maintain an ongoing understanding of compliance requirements for the industry.
  12. Contribute to the curriculum and delivery of regulatory-related changes and educational issues and knowledge across the advisor team network.
  13. Effectively communicate with Senior Management regarding regulatory concerns under their purview.
  14. Sustain a collaborative and positive branch culture where team opinions/feedback are valued and considered.