Vice President, Regulatory Supervision, National Sales

Richardson Wealth; Toronto; On-site; CAD 120,000 - 180,000; Full time

Job summary

This innovative firm is seeking a Vice President for Regulatory Supervision to lead compliance efforts across branches nationwide. In this pivotal role, you will oversee a team of Wealth Compliance Advisors, ensuring adherence to regulations while fostering a culture of compliance. Your leadership will guide the organization through regulatory changes, enhance operational effectiveness, and support a collaborative branch environment. If you thrive in a dynamic setting and are passionate about regulatory excellence, this opportunity is tailored for you. Join a company committed to your growth and success.

Qualifications

• 15+ years in full-service brokerage with a focus on supervision.
• Experience in coaching Advisors on compliance matters.
• Strong leadership and initiative in a fast-paced environment.

Responsibilities

• Lead a team ensuring national compliance and performance management.
• Guide branches through regulatory changes and audits.
• Foster a culture of compliance and effective change management.

Skills

Leadership

Coaching

Analytical Skills

Organizational Skills

Solution-oriented

Education

University or College degree

Licensed as a Registered Representative (RR) with CIRO

Licensed as Options Supervisor with CIRO

Tools

Dataphile

Thomson One

Maximizer CRM

Job description

Vice President, Regulatory Supervision, National Sales

Join to apply for the Vice President, Regulatory Supervision, National Sales role at Richardson Wealth

Vice President, Regulatory Supervision, National Sales

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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

Primary accountability for this role is to provide senior leadership and oversight for branch compliance at a national level. Working in conjunction with both National and Regional objectives, this leadership role along with a team of Wealth Compliance Advisors (WCA), leads branches, advisors and their teams in managing practice-risk, ensuring regulatory adherence through effective processes, and managing escalations as it pertains to advisor risk and compliance, change management and general branch culture.

Duties And Responsibilities

• Leading a team of WCAs in managing a national level of consistent regulatory compliance across the network including performance management, coaching, training and mentorship
• Provides leadership and guidance to support regulatory change for all branches working closely with Branch Managers including delegations and escalations raised through the network
• This position works closely with Compliance and particularly the VP Regulatory Change in the creation and implementation of policies and processes around regulatory change
• Will deliver a consistent and practical level of regulatory supervision at a national level
• Actively lead and participate as a change agent for corporate initiatives, as well as changes to the regulatory landscape representing interest of branches
• Provide leadership guidance to WCAs and branch management in the readiness in preparation for and remediation for internal and regulatory audits
• Lead and evolve a National operating model that provides oversight and accountable for effective execution of branch compliance including but not limited to review & approval of new account documentation, account administration, Marketing approvals, trading approvals as applicable, Registrant oversight, and Sub- branch / remote location supervision (if applicable)
• Nurture a culture of compliance and enforce the implementation of company policies, programs and processes to ensure better team and client experience through effective change management
• Support governance framework for conflicts of interest as it relates to employees, referrals, compensation etc. across the enterprise including escalations
• Provides guidance and support to Advisors regarding compliance policies and procedures, including effectively communicating requirements and ensuring the efficacy of the program
• Responsible for maintaining an ongoing, in-depth understanding of compliance requirements for the industry
• Contribute to the curriculum and delivery of regulatory related changes and related educational issues and knowledge across the advisor team network
• Effectively communicate with Senior Management as it relates to regulatory concerns under their purview
• Supports a collaborative and positive branch culture where team opinion/feedback are valued and considered

Qualifications

• Minimum 15 years’ experience in a full-service brokerage environment including supervision
• Demonstrated experience coaching and helping Advisors with compliance matters
• Strong organizational skills
• Positive attitude and ability to work with various personality types
• Leadership and initiative
• Analytical skills
• Solution-oriented
• Ability to work in a fast-paced environment and meet deadlines
• Knowledge of Dataphile, Thomson One, Maximizer CRM are an asset

Education

• University or College degree
• Licensed as a Registered Representative (RR) with CIRO
• Licensed as Options Supervisor with CIRO

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.

We are a proud partner of Pride at Work Canada.

Seniority level

• Seniority level

  Executive

Employment type

• Employment type

  Full-time

Job function

• Job function

  Sales and Business Development

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