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

The primary responsibilities of this role are to execute the branch audit program, coordinate risk assessment and remediation of findings in support of regional compliance services, and support assurance and control reviews in addition to regulatory examinations.

Duties & Responsibilities

• Execution of the Branch Audit program as a key control in managing firm compliance risk
• Support the Manager, Internal Audit and Assurance in planning and conducting assurance and internal controls reviews as needed
• Proactively communicate and discuss findings with Management to address issues in a timely manner
• Proactively communicate branch audit plans and scheduling in advance to stakeholders
• Draft and complete audit reports for distribution and presentation, gain buy-in to results, support action plan development by stakeholders, and ensure related follow-ups and resolutions
• Monitor audit issue remediation and produce insightful reporting on key themes, root causes, and opportunities for process or control improvements
• Support Head Office regulatory examinations by collecting and collating data, coordinating meetings, reviewing data and responses, and coordinating remediation of exam findings
• Ensure that required actions arising from reviews are completed within reasonable timeframes and records are appropriately filed in a central location within the Risk Department
• Recommend courses of action for risk issues resulting from regulatory non-compliance
• Provide guidance and support to Advisors, Branch Management, and Corporate staff regarding compliance policies and procedures, including effectively communicating requirements and ensuring the efficiency of the program
• Assist in the enhancement and sustainment of audit methodologies, testing procedures, policy, and practices
• Assist in the preparation of reporting to the Executive Risk Management Committee and Board of Directors as required
• Maintain and organize audit files for record-keeping purposes
• Support Richardson Wealth Insurance Services Limited (“RWISL”) audit initiatives in-branch
• Maintain understanding of compliance requirements for the industry and share knowledge, issues and challenges as well as sustain knowledge level for regulations
• Effectively communicate with Management and Senior Management as it relates to concerns and/or requirements
• Support training and development to reinforce policy and procedure compliance to ensure alignment with firm strategy
• Other projects as assigned

Qualifications

• Minimum five years of experience in a compliance role, preferably with a CIRO or similar background (e.g. Investment dealer)
• Strong verbal and written communication skills
• Strong understanding of how the investment/securities industry functions and be able to apply that knowledge to RWL internal processes
• Good understanding of regulatory requirements and industry rules across Canada
• Ability to use initiative and work with minimal supervision
• Excellent leadership skills and exercise good judgment on regulatory and supervisory issues
• Self-motivated and interested in ongoing learning and professional development (including attendance of regulatory or educational conferences and seminars)
• Ability and willingness to travel within Canada, at times on short notice
• Working knowledge of MS Applications including Word, Excel, PowerPoint, Teams
• Strong computer and technology skills and familiarity with industry software would be an asset (e.g. Dataphile, PortfolioAid)

Education

• University degree or college diploma
• Completion of the Canadian Securities Course (CSC)
• Completion of the Conduct and Practices Handbook course (CPH) would be preferred
• Completion of the Investment Dealer Supervisors Course (IDSC) would be an asset

#LI-Hybrid

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.