Compliance Advisor

Position: Join Richardson Wealth as Compliance Advisor
Step into a pivotal Compliance Advisor role at Richardson Wealth, Canada’s leading wealth management organization. This position focuses on retail compliance and regulatory oversight across the firm.

As a Compliance Advisor, you will engage with employees to ensure compliance with industry regulations. Your duties will encompass regular reviews of trading activities and client accounts, communicating requirements clearly, and analyzing trends for potential conflicts. This role is essential for minimizing risks and enhancing the firm’s compliance framework.

Key Responsibilities:

• Facilitate daily and monthly compliance reviews

• Evaluate trading activities and highlight risks

• Provide support to Advisors on compliance issues

• Ensure timely follow-up on inquiries from reviews

• Recommend changes to enhance departmental procedures

Requirements:

• Experience in compliance within a CIRO Dealer Member

• Strong written and verbal communication skills

• Understanding of trading and regulatory frameworks

• Self-motivated with strong judgment skills

• University degree or completion of Canadian Securities Course

Leverage your expertise to help Richardson Wealth maintain its industry-leading compliance standards.
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