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.
Position Overview
Help support the Regulatory Change team manage the day to day functions that are instrumental in identifying and mitigating risk on behalf of Richardson Wealth.
This is an existing vacancy.
Duties and Responsibilities
• Registration database management support
• Assisting with Department Annual regulatory survey
• Assisting in day to day processing
• Continuing Education credit support and regulatory Filings
• Assisting with departmental operating procedures
• Internal Audit testing support
• Other projects as assigned
• Responsible for handling firm and individual registration related matters pertaining to CIRO, SEC and OSC filings, including suitability review of registrant files as required.
• Coordinating in-house and CSI 30 & 90 Day Training Programs.
• Monitoring CIRO related continuing education requirements of registered individuals.
• Maintaining internal registration database and registration lists.
• Assisting with branch audits as well as regulatory audits
Qualifications
• Knowledge of NI 31-103 and CIRO Registration related rules and application in day-to-day function
• Knowledge of NRD
• Excellent organizational skills and proven ability to prioritize and multi-task
• Excellent written and verbal communication skills
• Very strong technical aptitude, attention to detail and problem solving skills
• Good skills in Microsoft Outlook, Word and Excel
• Knowledge of Salesforce an asset
• Good written and verbal communication skills
• Detail oriented and self-starter
• Two years experience in the financial industry is an asset
Education
• College or University Degree or Relevant Industry Experience
LI-Hybrid
Why Apply:
Our firm is only as good as the people who work here. Our employees are exceptional because they combine in-depth expertise with enthusiasm, and empathy. From our front office talent to our colleagues behind the scenes, we have one focus: to ensure our people thrive here more than anywhere else. Are you innovative, self-driven, and client-centric?
If so, we’re ready to invest in you.
Richardson Wealth is an equal opportunity employer and committed to providing a diverse, equitable and inclusive environment. We are happy to meet your individual needs in keeping with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act. Candidates may request accommodation at any point during the interview process.
