Complex Account & Estate Service Specialist

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.

The Complex Account & Estate Service Specialist will be highly engaged in supporting Investment Advisors and their teams utilizing their extensive operational knowledge with end-to-end service to assist, create efficiencies and making tasks easier on Complex & Estate Accounts

This is an existing vacancy.

• As a trusted partner and resource, act as central point of contact for all types of complex accounts (Trusts, IPPs, Multi-layered Corp) and Estates inquiries.
• Provide guidance and documentation support on complex and estate account openings with a focus on accuracy and timely response.
• Responsible as the primary approver to grant efficient and expedited approvals following an expert review of all account opening packages for complex and estate accounts.
• Collaborate with back office and internal partners (Legal, Compliance), manage and resolve all complex and estate account opening documents not in good order.
• Support Richardson Wealth advisory teams with clear action plans to resolve errors and maintain full ownership and accountability until resolved.
• Provide a timeline for all inquiries requiring investigations by keeping Richardson Wealth advisory teams updated by way of status journey to meet client expectation.
• Support data and analytics strategy by tracking all daily issues for insights to improve Advisor and client experience.
• Leverage data insights, raise up trends, areas for improvement and other friction point plans.
• Present subject matter information and data in a structured manner to front office and internal stakeholders of varying seniority levels.
• Accountable for the internal knowledge site for procedures, assistance and important updates.
• Collaborate internal communications team to deliver messaging when there are operational process changes.
• Manage risks by adhering to compliance routines, processes and controls to protect client and RW Advisors interests.
• Advocate, educate and assist RWL teams with using digital capabilities and advocate STP.
• Participate and support initiatives aimed at improving and enhancing overall RWL service efficiency.

• In depth knowledge of regulatory requirements (KYC/AML/QI/FATCA/CRS) to review, verify, and validate client documentation and data.
• Proven working experience working with account opening in Wealth Management.
• Strong understanding of opening Complex Account and Estate Accounts.
• Strong skills working with business applications/technology, including Microsoft Office Suite.
• Consistently demonstrate empathy by having the ability to tune into RWL branches concerns, show a genuine interest in their issues. ask probing questions and listen keenly.
• Proven relationship management and analytical skills.
• Able to build trust in relationships with others by consistently demonstrating integrity and professional competence.
• Committed on helping RWL Advisors achieve goals for their clients.
• Can articulate situations with straight talk and communicate on value is being added.
• Strong prioritization skills that create balance between short- and long-term needs.
• Outstanding time management that aligns commitments to priorities.
• Proven experience in preparing and presenting materials to a wide range of audiences.
• Extensive knowledge of Wealth industry back-office or Operations practices.

• Post secondary education

The expected annualized base salary range for this role is $84,000-$100,000

The actual salary offered will take into consideration a wide array of factors including, but not limited to, the individual’s skill, experience, education and training, and the consideration of internal equity.

Richardson offers a competitive total rewards package in addition to the base pay, which includes a performance-based incentive plan,…