Wealth Compliance Advisor

343 Preston St, Ottawa, ON K1S 1N4, Canada Numéro de demande 323

10 décembre 2024

À propos de nous:

En tant que chef de file de la gestion de patrimoine au Canada, Patrimoine Richardson allie une approche personnalisée d’une entreprise familiale à des résultats remarquables. Avec des bureaux répartis dans tout le pays, nous sommes fiers d’accueillir certains des conseillers en placement les plus réputés du Canada. Nous avons entamé une phase de croissance stimulante, une transformation sur plusieurs années, destinée à consolider notre culture entrepreneuriale, performante et axée sur les conseillers.

Où nous allons:

Nous aspirons à devenir une marque de référence pour les meilleurs conseillers au Canada et leurs clients fortunés. Notre stratégie de croissance est ambitieuse, avec l’objectif de tripler nos actifs sous gestion pour atteindre les 100 milliards de dollars d’ici 2027.

Pour atteindre nos objectifs, nous réalisons des investissements stratégiques dans les domaines de la technologie, de l’immobilier et, en priorité, dans notre personnel.

Position Overview
The WCA is a resource for the Branch Management Team and Advisor teams regarding industry regulations, requirements and best practices.

The WCA is accountable to ensure that the region meets all its compliance requirements as the designee for compliance and risk operations. This role is also accountable to provide advice and guidance on Compliance related policies, processes and other key execution activities to the branch management teams within the region.
By ensuring strong compliance execution and risk management in the region, the WCA assists in enhancing the profitability, client experience and reputation of Richardson Wealth.

The right candidate will excel in the areas of supervision and can effectively communicate and coach IA Teams and Associates. This position is open to remote work options.

Duties and Responsibilities
• Support escalations and resolution on issues driven out of the daily and monthly tier-one account activity of clients, and employees
• Review & 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
• Liaise with Operations, Compliance and Credit on Compliance related issues where required
• Review advisor marketing practices and collaborate with the Marketing team to ensure proper approvals
• Work with Branch Manager &/or Assistant Branch Manager to manage complaints, while working with Risk & Compliance along with Legal to resolve
• Maintain an in-depth understanding of compliance requirements for the brokerage industry and share knowledge, issues and challenges as well as sustain knowledge level for regulations
• Facilitate and participate in regular conversations with Branch Managers, National Sales, and Chief Risk Officer to share information and discuss common compliance-related issues/concerns
• Play a key leadership role in helping to train, develop and enforce policy/procedure for compliance within the region to ensure alignment with firm strategy
• Communicate effectively within the region to ensure the strength and effectiveness of compliance and adoption of policies, processes at the branch level and develop action plans to improve compliance and overall compliance review results
• Act as 1st level point of escalation for compliance issues identified by the Branch, escalating to ABM and BM when applicable
• Participate in audits and compliance reviews as assigned and conduct follow up and coaching as required

Qualifications
• Excellent 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 a CIRO regulated investment dealer
• Proficiency with Dataphile is an asset
• Proficiency with PortfolioAid is an asset
• Proficient with Microsoft Office Suite
• Exercise good judgment of regulations and supervisory issues
• Ability to be proactive and communicate change in a fast-paced industry
• Travel may be required

Education
• Post-secondary degree preferred
• Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Derivatives Fundamentals Course (DFC), Options Licensing Course (OLC), and Branch Managers Course (BMC)
• Completion of or working toward Option Supervisor Course (OPSC)
• Licensed as Registered Representative (RR) and Supervisor with CIRO
• Thorough knowledge of administrative policies and procedures is an asset, namely, Operations; Human Resources; Compliance; Documentation; Finance; Commissions; Registrations

Pourquoi appliquer:

Notre entreprise est aussi performante que les personnes qui la composent. Nos employés sont exceptionnels, alliant une expertise approfondie à l’enthousiasme et à l’empathie. De nos employés en première ligne à nos collègues en coulisses, nous partageons un objectif commun : assurer l’épanouissement de notre personnel au sein de notre entreprise plus que partout ailleurs. Êtes-vous créatif, engagé et orienté vers le client ?

Si tel est le cas, nous sommes disposés à investir en vous.

Patrimoine Richardson est un employeur qui souscrit au principe de l’égalité des chances et s’engage à offrir un environnement de travail diversifié, équitable et inclusif. Nous sommes ravis de répondre à vos besoins spécifiques tout en respectant la Charte canadienne des droits et libertés ainsi que la Loi sur l’accessibilité pour les personnes handicapées de l’Ontario. Les candidats peuvent demander des aménagements à tout moment lors du processus d’entretien.

Nous sommes fiers d'être un partenaire de Fierté au travail Canada.

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343 Preston St, Ottawa, ON K1S 1N4, Canada

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