Job DescriptionAbout 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 OverviewThe primary responsibility of this role is executing oversight of daily and monthly AML supervision program. This role will act as a resource for employees regarding industry regulations and support the enhancement of the AML program. responding to queries of the Investment Advisors and their teams, Branch Management Team and other departments.This is an existing vacancy.Duties and ResponsibilitiesConduct oversight of daily and monthly AML transaction and account reviewsSupport unusual and/or suspicious activity reviews and management of Clients noted in ongoing scrubbingIdentify and upscale trends developing in client accounts with an emphasis on AML/ATF unusual transactions, conducting detailed analysis and escalating concerns where necessaryGovernance and documentation for management of high-risk client's approvals and account activity as outlined by FINTRAC and in Canadian Investment Regulatory Organization (CIRO) policies and other regulatory/corporate guidelinesExercise due diligence in following Richardson Wealth (RWL) procedures, policies and guidelinesMaintain an in-depth understanding of compliance and AML requirements for the industry and share knowledge, issues and challenges as well as sustain knowledge level for regulationsProvide guidance and support to Branch Management regarding Compliance and AML policies and procedures, including effectively communicating requirementsEffectively communicate with Management as it relates to concerns and/ or requirements,



including the reporting of key metricsAssist with regulatory requests and filings as required (eg. STRs)Liaise with Operations, Compliance and Credit on Compliance related issues where requiredOther projects as assignedQualificationsMinimum 2 years of experience in a compliance role, preferably with a CIRO dealer, or similar background (e.G. Investment dealer)Strong verbal and written communication skillsStrong understanding of how the investment/securities industry functions and be able to apply that knowledge to RWL internal processesStrong understanding of regulatory requirements and industry rules across CanadaAbility to use initiative and work with minimal supervisionSelf-motivated and interested in ongoing learning and career development (including attendance of regulatory or educational conferences and seminars)Working knowledge of MS Applications including Word, Excel, Access, and PowerPointStrong computer and technology skills and familiarity with industry software would be an asset (including Dataphile, PortfolioAid and Open-Source Ticket Request System (OTRS))EducationUniversity degree or college diplomaCompletion of ACAMs or equivalent an assetThe expected annualized base salary range for this role is $66,000-$78,000.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.#LI-Hybrid#LI-AARichardson Wealth is an equal prospect employer and committed to providing a diverse, equitable and inclusive workplace. 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.#J-18808-Ljbffr

📌 Aml, Compliance Advisor (Winnipeg)
🏢 National Bank
📍 Winnipeg