AML Compliance Lead – Wealth Management

Richardson Wealth; Toronto; On-site; CAD 66,000 - 78,000; Full time

Benefits offered by this job

Health & dental benefits

RRSP matching

Paid time off

Performance-based incentive plan

Job summary

Richardson Wealth is seeking an AML compliance professional to oversee the daily and monthly AML program and advise employees on regulatory requirements. This role supports enhancements to the AML framework across the organization and assists with regulatory responses.

The position involves reviewing transactions and client activity for suspicious patterns, ensuring governance per FINTRAC and CIRO policies, and collaborating with Branch Management and other departments.

Qualifications

• Minimum 2 years of experience in a compliance role with CIRO dealer or similar background.
• Strong verbal and written communication skills.
• Understanding of how the investment/securities industry functions and RWL processes.
• Strong knowledge of regulatory requirements across Canada.
• Ability to work with minimal supervision and take initiative.
• Commitment to ongoing professional development and regulatory conferences.
• Proficient with MS Word, Excel, Access, and PowerPoint.
• Familiarity with Dataphile, PortfolioAid and OTRS is an asset.

Responsibilities

• Oversee daily and monthly AML transaction and account reviews.
• Support unusual and/or suspicious activity reviews and client scrubbing.
• Identify trends in client accounts and escalate AML concerns as needed.
• Governance and documentation for high-risk approvals and activity per FINTRAC and CIRO.
• Adhere to Richardson Wealth procedures and guidelines.
• Maintain up-to-date knowledge of AML requirements and share insights.
• Provide guidance to Branch Management on Compliance and AML policies.
• Communicate with Management regarding concerns and reporting metrics.
• Assist with regulatory requests and filings (e.g., STRs).
• Coordinate with Operations, Compliance and Credit on issues.
• Contribute to other projects as assigned.

Skills

Regulatory compliance

AML/CIRO knowledge

Regulatory reporting

MS Applications

Communication skills

Attention to detail

Education

University degree

ACAMS certification

Tools

Dataphile

PortfolioAid

OTRS

Job description

Richardson Wealth is seeking an AML compliance professional to oversee the daily and monthly AML program and advise employees on regulatory requirements. This role supports enhancements to the AML framework across the organization and assists with regulatory responses.

The position involves reviewing transactions and client activity for suspicious patterns, ensuring governance per FINTRAC and CIRO policies, and collaborating with Branch Management and other departments.