Wealth Compliance Advisor

Richardson Wealth; Ottawa; On-site; CAD 70,000 - 90,000; Full time

Job summary

Join a leading Canadian wealth management organization as a Wealth Compliance Advisor. This role involves ensuring compliance and risk management, supporting advisor teams, and leading training on compliance policies. Ideal candidates will have strong communication and leadership skills, with 3-5 years of experience in compliance. The firm values diversity and invests in employee growth.

Qualifications

• 3-5 years of experience in Compliance or related field.
• Licensed as Registered Representative (RR) and Supervisor with IIROC.

Responsibilities

• Support escalations and resolution of issues related to client and employee account activities.
• Guide on compliance policies and support to advisors and teams.
• Lead training and enforcement of compliance policies within the region.

Skills

Communication

Leadership

Problem-solving

Education

Post-secondary degree

Certifications such as CSC, CPH, DFC, OLC, BMC

Tools

Dataphile

PortfolioAid

Microsoft Office Suite

Job description

Join to apply for the Wealth Compliance Advisor role at Richardson Wealth .

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

We are seeking skilled and motivated individuals to join our team at any of our locations across Canada. If you're passionate about making an impact and contributing to our success, we invite you to connect with us. We look forward to exploring how your expertise may align with future opportunities.

The WCA is a resource for the Branch Management Team and Advisor teams regarding industry regulations, requirements, and best practices. It is responsible for ensuring compliance and risk management within the region, providing advice on policies and procedures, and supporting compliance-related activities.

The right candidate will excel in supervision, communication, and coaching IA Teams and Associates.

Duties And Responsibilities

• Support escalations and resolution of issues related to client and employee account activities.
• Review & approval of new account documentation for suitability.
• Marketing Approvals.
• Approval of New Issues / Private Placement / Syndication processes.
• Guide on compliance policies and support to advisors and teams.
• Communicate concerns and ensure adherence to policies and procedures.
• Liaise with Operations, Compliance, and Credit on compliance issues.
• Review marketing practices and collaborate with Marketing for approvals.
• Manage complaints with Branch Managers, Risk, Compliance, and Legal.
• Maintain knowledge of compliance requirements and share insights.
• Engage with regional teams on compliance issues and concerns.
• Lead training and enforcement of compliance policies within the region.
• Communicate effectively to improve compliance and review results.
• Act as first escalation point for compliance issues, escalating when necessary.
• Participate in audits and reviews, conducting follow-up and coaching.

Qualifications

• Excellent written and oral communication skills.
• Strong relationship management, problem-solving, and leadership skills.
• 3-5 years of experience in Compliance or related field at an IIROC-regulated dealer.
• Proficiency with Dataphile and PortfolioAid (assets).
• Proficient with Microsoft Office Suite.
• Good judgment of regulations and supervisory issues.
• Proactive communication of industry changes.
• Travel flexibility may be required.

Education

• Post-secondary degree preferred.
• Certifications such as CSC, CPH, DFC, OLC, BMC, and working towards OPSC are assets.
• Licensed as Registered Representative (RR) and Supervisor with IIROC.
• Knowledge of administrative policies across various departments is an asset.

Why Apply

Our firm values its people—combining expertise with enthusiasm and empathy. We focus on helping our employees thrive and grow. If you are innovative, self-driven, and client-centric, we want to invest in you.

Richardson Wealth is an equal opportunity employer committed to diversity, equity, and inclusion. We support accommodations for individual needs throughout the interview process.

We are also a proud partner of Pride at Work Canada.