Oversee AML compliance and enhance the program at Richardson Wealth. This role addresses industry regulations while supporting Investment Advisors and management with compliance queries.

As an AML Compliance Advisor, you will execute daily and monthly supervision programs, while providing guidance to Branch Management and addressing regulatory queries. Your expertise in compliance and knowledge of regulations will be vital for analyzing unusual transactions and supporting high-risk client documentation efforts.

Key Responsibilities:
• Conduct daily and monthly AML transaction reviews
• Support management of suspicious activity investigations
• Identify trends in client accounts related to AML/ATF
• Govern documentation for high-risk client approvals
• Communicate AML compliance policies to management

Requirements:
• Minimum 2 years in a compliance role
• Robust understanding of industry regulations and CIRO rules
• Excellent verbal and written communication skills
• Experience with MS Applications and industry software
• University degree or college diploma required

Apply your compliance expertise to enrich the AML program at Richardson Wealth.
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📌 AML Compliance Advisor at Richardson Wealth (Ontario)
🏢 Richardson Wealth
📍 Ontario