Compliance Specialist at Richardson Wealth

Become a Compliance Specialist at Richardson Wealth, focusing on compliance protocols and regulatory adherence. Collaborate with investment professionals to uphold industry standards.

Richardson Wealth is on the lookout for a Compliance Specialist to provide expert compliance oversight. In this role, you will conduct detailed evaluations of client account activities and ensure adherence to regulatory guidelines. Your responsibility will also include training and supporting branch staff in compliance procedures.

Key Responsibilities:

• Conduct thorough reviews of client account activity regularly

• Identify trends and concerns related to trading practices

• Document findings and follow up on compliance issues

• Disseminate compliance information to Advisors and staff

• Monitor non-compliance risks and recommend corrective actions

Requirements:

• Experience with CIRO Dealer Members is advantageous

• Strong grasp of the investment and securities industry's workings

• Effective communication and analytical skills

• Self-motivated with a focus on continuous learning

• Relevant educational qualifications including CSC and CPH

Join Richardson Wealth to contribute to maintaining high compliance standards while advancing your career in the wealth management sector.
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