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 Compliance Advisor is a resource for employees and other industry related professionals regarding industry regulations that must be adhered to within the firm. The primary responsibilities will be geared towards retail compliance including daily and monthly trade/account surveillance, responding to queries of the Investment Advisors, Branches and other departments.

Duties and Responsibilities

Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO Policies and other regulatory/corporate guidelines

Identify trading trends developing of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest, unusual transactions, conducting detailed analysis and escalating concerns to the Regional Team Lead, where necessary

Follow up on inquiries from daily and monthly reviews with Advisors and Branch Management

Ensure that required actions arising from reviews are completed within reasonable timeframes and records are appropriately filed in the central location within the Compliance Department

Functions as a key point of contact and resource on Surveillance related inquiries and requests from employees and Branches staff





Monitor business conduct for risk resulting from regulatory non-compliance and recommend course of action

Assist in AML as needed relating to unusual and/or suspicious activity

Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining and implementing changes to the policies and procedures

Provide guidance and support to advisors and branch office staff regarding compliance policies and procedures, including effectively communicating requirements

Work on special projects as requested

Qualifications

Previous industry experience with a CIRO Dealer Member is an asset, including the ability to conduct suitability assessments

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

Good understanding of trading practices, market structure, risk factors, and general characteristics associated with the various securities and investment strategies to perform day-to-day analysis

Ability to use initiative and work with minimal supervision

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)

Working knowledge of MS Applications including Word,



Excel, Access, and PowerPoint

Strong computer and technology skills and familiarity with industry software would be an asset (including Dataphile, Portfolio Aid and Open-Source Ticket Request System (OTRS))

Education

University degree or college diploma

Completion of the Canadian Securities Course (CSC); Conduct and Practices Handbook (CPH)

Benefits
The expected annualized base salary range for this role is $66,000 - $75,000. The actual salary offered will take into consideration a wide array of factors including, but not limited to, the individual’s skill, experience, education and training, and the consideration of internal equity.

Richardson offers a competitive total rewards package in addition to the base pay, which includes a performance-based incentive plan, comprehensive health & dental benefits, a group RRSP matching plan and paid time off.

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.

Equal Opportunity Employment
Richardson Wealth is an equal chance 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.

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📌 Compliance Advisor (Ontario)
🏢 Richardson Wealth
📍 Ontario