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Regulatory Services Analyst

Employment Status
Permanent Full-Time
Toronto, ON
Risk and compliance
Reporting To
Sr Manager, Regulatory Services
Job Id
CPL - 065
Job Level
Seniority Level
Position Overview

This individual will be a key member of the Regulatory Services Team at Richardson Wealth, responsible for supporting the Risk & Compliance department with investigation into client complaints, internal investigation and internal reviews. This individual will be responsible to investigate privacy breaches in accordance with  the firm’s privacy breach response protocols. Duties will include providing analysis relating to client complaints in accordance with IIROC Dealer Member Rules, conducting internal analysis and supporting the Compliance Officer with requests for information for external sources in accordance with applicable privacy legislation and regulatory requirements.

Duties & Responsibilities
  • Support  investigations of client complaints in accordance with IIROC Dealer Member Rules, including analysis of client files, profit and loss calculations, suitability analysis and any other analysis required;
  • Support analysis for internal investigations and reviews, as required, including in respect of registrant conduct and client trading
  • Gather documents and information and prepare responses to information access requests, document production orders from courts, requests for information from regulators, as well requests for client documents under PIPEDA;
  • Support the Risk & Compliance department with reviewing OBSI findings and analysis;
  • Support various internal operation processes, with a view to driving efficient and effective execution of team responsibilities within established service level standards
  • Support in gathering relevant metrics reporting of all incidents in accordance with internal requirements, including for board reporting
  • Other tasks, as assigned
Skills & Qualifications
  • Some experience in financial services (preferably with an IIROC Dealer Member Firm), in a Analyst,  registrant capacity as an Investment Representative or similar function an asset
  • Familiarity with registrant and dealer member obligations under Canadian securities laws and IIROC Dealer Member Rules, as well as with OBSI terms of reference and investigation process an asset
  • 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