Specialist – Client Account and Compliance Services

Richter; Montreal; Hybrid; CAD 50,000 - 90,000; Full time

Job summary

An established industry player is seeking a Specialist in Client Account and Compliance Services to enhance client relationships and ensure compliance with regulatory standards. This role offers a unique opportunity to work in a hybrid environment, assisting with compliance documentation, client onboarding, and maintaining superior client service. You'll collaborate with a dynamic team, contributing to process improvements and best practices in a supportive atmosphere. If you're passionate about client service and compliance in the financial sector, this role is an exciting opportunity for your career growth.

Benefits

Competitive group benefits

Health Spending Account

Tuition reimbursement

Professional dues reimbursement

Access to virtual healthcare

Employee Assistance Programs

Competitive performance bonus

Annual employee rewards

Talent referral bonus

Client referral bonus

Qualifications

• 3-5 years of experience in the financial and brokerage industry.
• Excellent written and verbal communication skills in French.
• Strong commitment to professional client service excellence.

Responsibilities

• Assist with compliance-related matters and maintain client records.
• Coordinate transactional requests with Money Managers and custodians.
• Support the Compliance Manager in compliance processes.

Skills

Compliance Management

Client Relationship Management

Problem Solving

Organizational Skills

Communication Skills (French)

Attention to Detail

Teamwork

MS Office Proficiency

Education

Canadian Securities Course or IFIC

Tools

MS Office (Word, PowerPoint, Excel, Outlook)

Job description

Specialist – Client Account and Compliance Services

Job Category: Operations Support

Posted: October 11, 2024

Employment Type: Full-Time

Work Arrangement: Hybrid

Locations

Showing 1 location

The Specialist – Client Account and Compliance Services responsibility is to assist the Client Relationship Manager (CRM) with compliance-related matters, administrative tasks, and liaise with other members of the RFO team in providing daily portfolio maintenance, administration, and superior client service.

Reporting Structure:

Compliance Manager - CRM

Responsibilities and Duties:

Compliance:

• Review annually compliance documents as per regulatory requirements and maintain client records.
• Assist with client meeting preparation to ensure client documentation is up to date.
• Assist in new client onboarding by preparing the compliance documentation.
• Ensure that money manager compliance requests are addressed in a timely manner.
• Maintain an in-depth understanding and knowledge of all applicable regulatory requirements.
• Support the Compliance Manager in any amendments to compliance processes.
• Assist the CRM throughout the client onboarding process.
• Obtain and record all client data from various sources for account setup.
• Build and maintain strong client relationships.
• Ensure that client requests are fulfilled in an accurate and timely manner.
• Investigate and resolve any client issues in a timely manner.

Administration and Process Improvement:

• Complete and coordinate all transactional requests with various Money Managers and our custodian.
• Work with various Money Managers and Broker-Dealers, prepare and manage all paperwork relating to investments.
• Work with a custodian on managing client assets under the discretionary account.
• Identify, investigate, and resolve all money managers' inquiries in a timely manner.
• Communicate all changes and updates to team members requiring the information.
• Contribute towards process improvement initiatives and participate in the development of best practices.

Job Requirements (Knowledge/Experience):

• Canadian Securities Course or IFIC.
• 3-5 years of work experience in the financial, brokerage, and custodian industry, particularly in the investment sector.
• Advanced computer skills, including proficiency with MS Office (Word, PowerPoint, Excel, and Outlook) and the ability to learn new programs.
• Excellent written and verbal communication skills in French; ability to draft effective communications (emails, letters, memos, instructions) with exceptional grammar, spelling, and proofreading skills. English is considered an asset.
• Strong organizational skills, prioritization methods, and multi-tasking abilities.
• Ability to work in a dynamic, demanding, high-pressure environment.
• Problem-solving skills.
• Strong interpersonal skills.
• Detail-oriented with a high level of accuracy.
• Ability to work in a team.
• Strong commitment to professional client service excellence.

What Richter Offers You:

• Competitive group benefits including group insurance, Health Spending Account, savings plans, and Employer Contribution Matching.
• Employee and Family access to a virtual healthcare network.
• Employee and Family Assistance Programs, including consultations with mental health professionals.
• Hybrid work environment.
• Competitive performance bonus.
• Tuition reimbursement.
• Professional dues reimbursement.
• CFE leave financial support.
• Academic incentives.
• Talent referral bonus.
• Client referral bonus.
• Access to an on-demand concierge nannying, babysitting, and tutoring service.
• Annual employee rewards and recognition.

Your Application:

We are excited to meet motivated professionals who are looking for career growth in a mid-sized family-minded firm and have a strong background in building and fostering relationships.