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Compliance Advisor, Complaints & Investigations

Employment Status
Permanent Full-Time
Toronto, ON
Risk and compliance
Reporting To
Sr Manager, Regulatory Services
Job Id
CPL – 076
Job Level
Seniority Level
Position Overview

This individual will be a key member of the Complaints & Investigations team at Richardson Wealth, responsible for the primary carriage of the complaint and investigation files that are assigned to them. Duties will include investigating and providing analysis relating to client complaints in accordance with IIROC Dealer Member Rules, conducting internal analysis and responding to OBSI requests and findings, and investigation into Privacy breaches. In addition, this individual is responsible for providing support and managing responses to requests for information in accordance with applicable privacy legislation and regulatory requirements.

Duties & Responsibilities

• Conduct investigations of client complaints in accordance with IIROC Dealer Member Rules, including detailed analysis of client files, profit and loss calculations, suitability analysis and review of relevant correspondence
• Conduct internal investigations and reviews, as required, including in respect of registrant conduct and client trading
• Prepare responses to information access requests, document production orders from courts and requests for information from regulators
• Conduct the internal review and response process for OBSI or regulatory investigations
• Work with Branch Management teams, advisors, legal counsel and other internal stakeholders, as part of investigation and resolution processes
• Support various internal operation processes, with a view to driving efficient and effective execution of team responsibilities within established service level standards
• Provide analysis and data collection services to support litigation efforts, including account profit and loss calculations
• Conduct reporting of l incidents in accordance with internal requirements, including metrics that matter
• Liaise with, and manage insurance coverage process for assigned files
• Support privacy breach response procedures, including intake, investigative processes and tracking of metrics
• Other tasks, as assigned

Skills & Qualifications

• Some experience preferably with an IIROC Dealer Member Firm, in a Analyst,  registrant capacity or similar function is an asset
• understanding of registrant and dealer member obligations under Canadian securities laws and IIROC Dealer Member Rules, as well as familiarity with OBSI terms of reference and investigation process
• understanding of retail wealth management industry, including products and services
• Advanced MS Excel proficiency
• Excellent organization, written and oral communication, teamwork and problem-solving skills, detail and quantitative oriented
• Ability to manage multiple deadlines and processes contemporaneously, and with minimal supervision


• University degree in business administration, accounting, finance or related field,
• Canadian Securities Course and Conduct Practices & Handbook Course, an asset