AML Compliance Lead & Regulatory Oversight

Richardson Wealth Limited; Toronto; Hybrid; CAD 66,000 - 78,000; Full time

Benefits offered by this job

Health & dental benefits

RRSP matching

Paid time off

Job summary

Richardson Wealth Limited is seeking a dedicated AML Compliance Specialist to oversee daily and monthly AML supervision and respond to regulatory inquiries. The role requires strong knowledge of Canadian regulatory requirements, CIRO rules, and experience in the investment industry, with a proactive mindset and excellent communication skills.

As a key member of the compliance team, you will guide branch management, prepare regulatory filings such as STRs, and maintain governance for high-risk

Qualifications

• 2+ years in a compliance role within financial services.
• Strong understanding of Canadian regulatory requirements (CIRO, FINTRAC).
• Ability to work independently and with minimal supervision.

Responsibilities

• Oversee daily and monthly AML transaction and account reviews.
• Respond to queries from Investment Advisors and branches on compliance.
• Support unusual or suspicious activity reviews and scrubbing results.
• Governance for high-risk account approvals per CIRO and FINTRAC guidelines.
• Provide guidance to Branch Management on AML policies and reporting metrics.
• Assist with regulatory filings and coordination with Operations and Compliance.

Skills

Compliance experience

Verbal & written communication

Investment/securities knowledge

Regulatory knowledge (Canada)

Self-motivated

Education

University degree or college diploma

ACAMs or equivalent asset

Tools

MS Word

MS Excel

MS Access

MS PowerPoint

Dataphile

PortfolioAid

OTRS

Job description

Richardson Wealth Limited is seeking a dedicated AML Compliance Specialist to oversee daily and monthly AML supervision and respond to regulatory inquiries. The role requires strong knowledge of Canadian regulatory requirements, CIRO rules, and experience in the investment industry, with a proactive mindset and excellent communication skills.

As a key member of the compliance team, you will guide branch management, prepare regulatory filings such as STRs, and maintain governance for high-risk