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
The Knowledge Management Specialist is responsible for ensuring streamlined operational processes, automation, analytical insight, policy, and procedure review and removing process redundancy. The incumbent will work very closely with internal stakeholders and vendors to standardize best practices in the development and maintenance of processing activities and will maintain up to date policies, operating procedures and forms. Serving as a “go-to” individual for procedures, policies, and process clarification, the Knowledge Management Specialist will establish and manage an operations specific knowledge base and artifacts, lead operational communications and assist with training, change management, and internal controls.
This position is to cover an existing vacancy due to maternity leave.
Duties and Responsibilities
• Develop and maintain policies and procedures related to back-office operations, wealth management, and vendor oversight
• Ensure that policies and procedures are compliant with regulatory requirements and industry best practices
• Identify, track and resolve process issues and inquiries
• Review, research, analyze and document client/stakeholder issues and escalations including assessment of advisor/client impact, proposed resolution and communications plan for key stakeholders
• Implement and maintain a knowledge management system to ensure that employees have access to up-to-date information on back-office operations and regular communication for awareness
• Train staff on policies, procedures, and forms management processes
• Manage the organization's Forms Library for back-office operations and other forms required by regulatory agencies
• Conduct regular audits of forms and procedures to ensure compliance with regulatory requirements and identify areas for improvement
• Oversee vendor operations to ensure that vendors are meeting service level agreements and compliance requirements
• Collaborate with cross-functional teams to identify areas for process improvement and develop solutions to enhance organizational efficiency
• Stay up to date with regulatory changes and industry trends related to back-office operations, wealth management, and vendor management
Qualifications
• 3-5 years of experience in policy and procedure management, forms management, knowledge management, communications and vendor oversight in the financial services industry
• Experience in assessing key business processes from an operations perspective and documentation of process tools and gaps using Business Process Modeling Tools
• Knowledge of regulatory compliance requirements and experience working in a highly regulated environment
• Experience with content management systems and/or knowledge management tools
• Strong attention to detail and organizational skills
• Excellent written and verbal communication skills
• Demonstrated customer focus mindset, the ability to collaborate with others and work independently, think and act strategically
Education
• Bachelor's degree in a related field such as finance, business administration, or economics
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.
