The primary responsibilities of this role are to support Richardson Wealth in researching, writing, and socializing robust policies and procedures in the management and operations supporting Regulatory Compliance. The Senior Risk and Compliance Analyst must have exceptional writing, communication and analytical skills and must be comfortable working with complex rules and requirements from Regulatory and other Legislative requirements.
Duties & Responsibilities
- Work collaboratively with business and support teams to provide ongoing advice and guidance on risk and compliance implications related to new and ongoing policies, procedures and practices.
- Communicate new and amended internal policies and regulatory requirements, and incorporate these updates/amendments within the policy and procedures manuals, create training and deliver succinct and relevant communications to the field.
- Support the Vice President, Regulatory Change to ensure all policy and procedures manuals, testing and review procedures for advisor compliance, branch and compliance operations are updated within prescribed time frames, that they reflect current practices, and comply with all applicable regulatory requirements
- Support the Risk and Compliance department by assisting in board reporting, PortfolioAid testing and acting in a back-up capacity for select Trade Desk supervision tasks.
- Lead specific compliance related tool creation, implementation, training and adoption across both branch network and across Head Office based associates.
- Support the VP, Regulatory Change in ensuring that the Compliance Manual and all related policies and procedures are up to date or otherwise tracked with action plans where changes are pending.
- Co-ordinate and track upcoming and newly enacted policies, regulations and guidance notes. Provide summary briefs of changes, determine branch or firm impact and craft training and communication materials.
- Conduct and support training on policy and procedures and on “hot” topics and on new/amended policies. Build Risk University content and training materials acting as subject matter and design expert. Manage registration and data analytics for required registrant courses.
- Partner with Manager, Legislative Compliance to ensure all policy and procedures manuals, testing and review procedures for advisor compliance, branch and compliance operations are updated within prescribed time frames, that they reflect current practices, and comply with all applicable regulatory requirements
- Participate in special projects as required
Skills & Qualifications
- Knowledge and understanding of the Canadian securities regulatory landscape, and IIROC and CSA rules and legislation
- Ability to educate, influence, negotiate and to work independently and within a larger team
- Excellent skills in conceptual editing, copy editing and proof-reading
- Strong understanding of front and back-office operations
- Service-oriented with an ability to remain calm and professional under pressure
- Sound judgment and integrity
- Ability to think and act proactively
- Self-motivated and interested in ongoing learning and professional development
- Organized and ruthlessly efficient
- Proficiency in website design an asset
- Proficient with Microsoft Office Suite
- Completion of the Canadian Securities Course (CSC), and Conduct and Practices Handbook Course (CPH)
- Investment Dealers Supervisors Course an asset
- Post-secondary degree