Policy Manager, Regulatory Change

100 Queens Quay E, Toronto, ON M5E 1Z2, Canada Req #375
March 7, 2025
About Us:
As a leading Canadian wealth management organization, Richardson Wealth offers the personal touch of a boutique firm while delivering big results. With offices across the country, we are home to some of Canada’s best investment advisors. We’ve embarked on an exciting growth phase – a multi-year transformational journey to enhance our entrepreneurial, high-performing, advisor-centric culture.

Position Overview
This role is responsible for updating Compliance-related policies and processes and is an experienced resource for employees and other industry-related professionals regarding industry regulations that must be adhered to within the firm. This is a critical role in managing our regulatory risk and adhering to industry regulations.

This position is an existing vacancy within our team.

Duties and Responsibilities
•    Co-ordinate and manage multiple manual and procedure document updates and dissemination
•    Serve as escalation point to Advisors and Branch Management regarding compliance policies and procedures, including effectively communicating requirements for policy and process related issues
•    Co-ordinate with carrying broker and mid-office functions to ensure branch staff activities are supported with adequate controls implemented
•    Recommend and implement course of action for risk and compliance issues
•    Keep abreast of all regulatory and legal changes/decisions
•    Maintain an in-depth understanding of compliance requirements for the industry and share knowledge, issues and challenges as well as sustain knowledge level for regulations
•    Effectively communicate with Senior Management and Executives as it relates to concerns and/ or requirements
•    Strategic oversight and commitment to creating efficiencies and more digital solutions
•    Play a role in helping to develop and enforce policy/procedure for compliance to ensure alignment with firm strategy
•    Other projects as assigned

Qualifications
•    A team player, leader, independent thinker and business minded
•    Excellent written and oral skills, comfortable with public speaking
•    Minimum 10-15 years related experience within the financial industry
•    Service oriented with an ability to remain professional under pressure
•    Sound judgment and integrity
•    In depth knowledge of securities industry regulations and their application
•    Ability to think and act proactively
•    Self-motivated and interested in ongoing learning and professional development
•    Working knowledge of MS Applications including Word, Excel, Access, and PowerPoint
•    Strong computer and technology skills and familiarity with industry software would be an asset (including Dataphile, PortfolioAid and Open-Source Ticket Request System (OTRS))

Education
•    University degree or college diploma
•    Completion of the Canadian Securities Course (CSC)
•    Completion of the Conduct and Practices Handbook (CPH)
•    Completion of either the Branch Managers Course (BMC) or the Investment Dealer Supervisors Course (ISDC) are an asset
•    Branch or Operational experience is an asset

Why Apply:
Our firm is only as good as the people who work here. Our employees are exceptional because they combine in-depth expertise with enthusiasm, and empathy. From our front office talent to our colleagues behind the scenes, we have one focus: to ensure our people thrive here more than anywhere else. Are you innovative, self-driven, and client-centric?

If so, we’re ready to invest in you.

Richardson Wealth is an equal opportunity employer and committed to providing a diverse, equitable and inclusive environment. We are happy to meet your individual needs in keeping with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act. Candidates may request accommodation at any point during the interview process.
 
We are a proud partner of Pride at Work Canada.

Other details

  • Pay Type Salary
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