Senior Compliance and Risk Management Specialist
2 weeks ago
At Richardson Wealth, we are committed to delivering exceptional results for our clients. We are seeking a highly skilled Senior Compliance and Risk Management Specialist to join our team.
The estimated salary for this role is between $90,000 and $120,000 per year, depending on experience.
About the RoleWe are looking for an individual with excellent French and English communication skills who can provide guidance and support to our advisors and teams regarding industry regulations, requirements, and best practices. The successful candidate will be responsible for ensuring that our region meets all its compliance requirements and providing advice and guidance on compliance-related policies, processes, and other key execution activities.
This role requires strong leadership skills, including problem-solving, mediation, and leadership. The ideal candidate will have 3 to 5 years of experience in compliance or a related field at an IIROC-regulated investment dealer. Proficiency with Dataphile and PortfolioAid is an asset.
The Senior Compliance and Risk Management Specialist will play a key role in helping to train, develop, and enforce policy and procedure for compliance within our region. They will also communicate effectively within the region to ensure the strength and effectiveness of compliance and adoption of policies, processes at the branch level.
Responsibilities- Monitor daily and monthly tier-one account activity of clients, employees, and outside pro-accounts (including producing Branch Managers)
- Review and approval of all new account documentation for suitability
- Marketing Approvals
- New Issues/Private Placement/Syndication process approvals
- Offer guidance on compliance policy and procedure and support to advisors and their team members
- Effectively communicate concerns or requirements and ensure that IA teams are following company and regulatory policies and procedures
- Excellent French and English communication skills - written and oral
- In-depth relationship management skills, including problem solving, mediation, and leadership
- 3 to 5 years of experience in Compliance or related experience at an IIROC regulated investment dealer
- Proficiency with Dataphile is an asset
- Proficiency with PortfolioAid is an asset
- Proficient with Microsoft Office Suite
- Above average time management
- Exercise good judgment of regulations and supervisory issues
- Ability to be proactive and communicate change in a fast-paced industry
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