Compliance Advisor

Position: Compliance Advisor at Richardson Wealth
Enhance your expertise as a Compliance Advisor at Richardson Wealth, a premier Canadian wealth management firm. This role focuses on retail compliance and regulatory adherence in a supportive environment.

As a Compliance Advisor, you will provide critical guidance to employees on regulatory standards and conduct frequent account reviews. This position requires meticulous analysis of trading activities and direct communication with Investment Advisors and Branch Management. You will be instrumental in risk mitigation and maintaining compliance throughout the organization.

Key Responsibilities:

• Conduct daily and monthly account activity reviews

• Identify trends and escalate concerns to Regional Team Lead

• Respond to inquiries from Advisors regarding compliance

• Monitor business conduct to ensure regulatory compliance

• Assist in AML investigations of unusual activity

Requirements:

• Industry experience with a CIRO Dealer Member

• Strong verbal and written communication skills

• Comprehensive understanding of industry regulations

• Initiative-driven with minimal supervision

• Relevant degree and completion of Canadian Securities Course

Your analytical skills and compliance knowledge will be vital in supporting Richardson Wealth's commitment to excellence.
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