Wealth Compliance Advisor

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 WCA is a resource for the Branch Management Team and Advisor teams regarding industry regulations, requirements and best practices. This role is part of a centralized supervision team, reporting into National Sales. The WCA is accountable to ensure that the region meets all its compliance requirements as the delegate 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.

The WCA plays an important role in supporting the development of risk‑mitigating measures, controls, independent challenges and adequate remediation plans. 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 is an existing vacancy.

• 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
• Execution of Trading correction review and approvals
• Conduct email surveillance and social media reviews
• Conduct 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
• Build effective relationships with internal stakeholders. Liaise with various departments (i.e. Operations, Compliance, Human Resources, Marketing, Products and Services, IT 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
• 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, escalating to ABM and BM when applicable
• Participate in audits and compliance reviews as assigned and conduct follow up and coaching as required.
• Apply expertise and think creatively to address unique or ambiguous situations and work with key internal stakeholders to find solutions to problems that can be complex and non‑routine.
• Develop and maintain front office process and procedures database, ensuring documentation is accurate, accessible, and aligned with operational standards.
• Collaborate on cross functional project teams, contributing insights, tracking deliverables, and supporting successful implementation of initiatives.
• Provide specialized support for complex accounts, including compliance reviews, marketing oversight, trade corrections, and email surveillance to ensure adherence to regulatory and firm policies.
• Support onboarding and training for new recruits, assisting with account approvals, system navigation, and procedural education to promote a smooth…