Compliance Advisor for Richardson Wealth
Richardson Wealth
Enhance compliance integrity at Richardson Wealth as a Wealth Compliance Advisor. Your expertise in industry regulations and risk management will be critical in supporting branch teams and clients. Richardson Wealth is seeking a knowledgeable Compliance Advisor to ensure adherence to regulations and best practices. In this role, you will provide guidance to branch management and advisor teams, supporting compliance execution across various activities. Strong communication skills and a collaborative approach will be essential as you build relationships with internal stakeholders and other departments to address compliance-related issues. Key Responsibilities:
- Review account documentation for regulatory suitability
- Conduct compliance training for advisors and staff
- Facilitate communication on compliance issues across departments
- Provide oversight on marketing and trading approval processes
- Support escalations related to client activity and compliance
- 5-10 years of compliance experience in finance
- Proficiency in CRM and compliance tools
- Advanced analytical and problem-solving skills
- Strong written and verbal communication skills in French
- Relevant compliance certifications and education
Vacancy posted 18 hours ago
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