Job listings

Employment Status
Permanent Full-Time
Location
Toronto
Department
Marketing
Reporting To
Manager, Marketing Creative Services
Job Id
MKT – 035
Job Level
3
Seniority Level
Associate
Position Overview

This full time Corporate Designer position supports the Marketing Team in the creative design and production of corporate, firm-wide marketing materials for advisors and the corporate team in both digital and hard copy.

Duties & Responsibilities
  • Assist in brand development and maintenance of brand standards
  • Design and maintenance of marketing and communication materials for advisors and corporate use
  • Implement changes to the firm’s external website and Advisor websites, providing updates to content and design
  • Design of campaign materials which includes design of: communications, advertisements, webpage or supporting images, direct emails and social posts
  • Design of conference and event materials
  • Provide updates to internal intranet homepage and marketing website
  • Produce updates for the firm’s social media, based off thought leadership from across the company
  • Coordinate post-production process of staff and Investment Advisor photos
  • Vendor relations (print and web)
Skills & Qualifications
  • At least 3+ years of experience in a marketing role with strong graphic design skills
  • Proficient communication skills, written and verbal
  • Able to work under pressure and manage multiple projects at once and in a timely manner
  • Must have a keen eye for detail
  • Adept in Adobe standard design software (InDesign, Photoshop, Illustrator and experience with Premiere and/or After Effects is a plus)
  • Must be proficient in Microsoft applications (Outlook, Word and PowerPoint)
  • Microsoft SharePoint experience an asset
  • Basic HTML knowledge and CMS experience an asset
  • Video production and editing experience an asset
  • Social media knowledge and experience
  • Bilingual in both English and French an asset
  • Team player, customer focused, results oriented
Education
  • University or college degree in marketing/graphic design or equivalent work experience
  • Industry related courses and continuing education is a plus

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Operations
Reporting To
Vice President, Advisor Services
Job Id
OPS – 010
Job Level
2
Seniority Level
Associate
Position Overview

The Advisor Services Representative provides general support across the uniFide platform and with operational processes. This includes things like; helping Advisor teams open accounts, resolving of any payment queries and an overall understanding of how the platform operates. The Advisor Services Representative is the first point of contact for incoming support issues and requests via email and phone, triaging tickets and routing to the appropriate team/tier for resolution.

Duties & Responsibilities
  • Support level 1 platform and operational queries
  • Handle all incoming requests by phone, email and/or other channels and respond to Advisor team questions and issues
  • Prioritize Advisor team inquiries/needs and collaborate with other teams as appropriate to resolve Advisor queries and issues
  • Provide clear, friendly, and encouraging written communication to convey prompt, compassionate, and accurate information
  • Work through potentially complicated and emotionally charged situations with deep empathy and a solution-focused outlook
  • Proactively alert management of escalations or potential service disruptions and assist as needed
  • Ensure necessary due diligence is taken to support the accuracy of all requests and queries
  • Conduct incoming email triage and routing with the ability to quickly understand stakeholder needs from basic questions to complex support
  • Assign operational and platform requests/queries to appropriate queues and routes to the appropriate team and tier
  • Drive continuous improvement by identifying, suggesting and actively participating in process improvements
  • Understand and apply department operating policies and procedures
Skills & Qualifications
  • Bilingual (English/French)
  • Strong background in customer service that will be reflected in professional client interaction, ability to build relationships, and quality of service delivered
  • Team player, displays passion, empathy and an appropriate sense of urgency for servicing clients
  • Strong written and oral communication skills
  • Ability to work independently with minimal guidance
  • Very thorough and detailed oriented
  • Priority on Corporate Actions/Entitlements experience, data analytics/reporting experience, communications experience
  • Comfortable with technology and able to explain features to others, with an appreciation for how digital solutions can be used to drive efficiency and effectiveness
  • Uses sound judgment and exercises strong decision-making skills
Education
  • Minimum 3 years’ experience in Financial Services, preferably within a Brokerage or Wealth Management firm
  • Completion of Canadian Securities Course (CSC) preferred
  • Post-secondary education in business or a related discipline, or an appropriate combination of education and experience required

Employment Status
Permanent Full-Time
Location
Calgary, AB
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
CGY – 099
Job Level
3
Seniority Level
Associate
Position Overview

We are seeking an individual to join our team in the Calgary office. As an Assistant, team Coordinator the incumbent will contribute to growing the business by providing support to the Investment Advisor(s), ensuring high-level client service, and effective functioning of the team through administration-related tasks and planning and execution of client events.

Duties & Responsibilities

Investment Advisor Support:

  • Responsible for the professional servicing of incoming telephone and email contacts from clients, Advisors and other internal and external partners
  • Assist the Investment Advisors in preparing account documentation including client reviews, presentations, correspondence and reports
  • Manage the Advisors calendar and co-ordinate meetings
  • Work with the Advisors to keep them informed of upcoming commitments and responsibilities
  • Make travel arrangements and reservations for the Advisor
  • Processes expenses

Client Service:

  • Foster and support client relationships
  • Respond to requests for information from clients
  • Investigate and resolve inquiries related to accounts
  • Request information and documentation from clients in order to open accounts and keep client files up to date
  • Follow up on client trades to ensure proper settlement and delivery

Administration:

  • Maintain expense records and spreadsheets
  • Filing and general administrative office duties as required
  • Adhere to professional practices and standards, as well as internal processes and controls
  • Collaborates with internal and external participants to deliver on business objectives
  • Work as a point of contact on all matters pertaining to the Advisor including those of a confidential nature
Skills & Qualifications
  • Superior client relationship management skills
  • Demonstrate a professional and friendly manner
  • Excellent verbal and written communication skills in English
  • Relevant experience in the financial sector and/or administrative experience
  • Excellent proficiency with Microsoft Office particularly Word, Excel, PowerPoint and Outlook
  • Experience with Client Relationship Management (CRM) systems such as Maximizer
  • Strong organizational skills
  • Meticulous attention to detail
  • Ability to prioritize, multitask, work within time constraints and follow-up
  • Ability to work in a team environment
  • Ability to quickly learn new technologies and programs
  • Team player will be well versed in their ability to anticipate needs of company leaders and confident in their ability to maintain organization
Education
  • Post-secondary education
  • Completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) is an asset

Employment Status
Permanent Full-Time
Location
Calgary, AB
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
CGY – 098
Job Level
L3
Seniority Level
Associate
Position Overview

We are seeking an individual to join our team in the Calgary office. As an Associate the incumbent will contribute to growing the business by supporting to the Investment Advisor(s), ensuring high-level client service, and providing dedicated specialized administrative support on diverse assignments.

Duties & Responsibilities

Investment Advisor Support:

  • Prepare, analyze, and present reports and recommendations for clients including investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals
  • Manage the execution of transactions on behalf of the Advisor
  • Analyze industry and company data, macro data, develop and maintain financial models

 Client Service:

  • Provide a high level of client service which includes responding to phone, mail and electronic enquiries based on knowledge of full service brokerage
  • Attend client meetings as required, including prospect and annual review meetings
  • Provide gold standard client service anticipating client needs and delivering proactive and quality communications to ensure clients are apprised of details related to their accounts

Administration:

  • Familiarize and adhere to compliance requirements, including all aspects of new and existing account documentation and marketing materials to maintain a culture and operation of risk management
Skills & Qualifications
  • At least 3 years’ experience in the financial services industry
  • Excellent verbal and written communication skills in English
  • Strong organizational skills
  • Ability to take initiative and work independently
  • Understanding of industry compliance regulations
  • Strict attention to detail
  • The ability to multi-task
  • Excellent organizational and time management skills
  • Ability to quickly learn new technologies and programs
Education
  • An undergraduate and/or postgraduate degree in Business/Economics or related field
  • Successful completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Managed Accounts
Reporting To
Vice President, Managed Accounts
Job Id
PS – 022
Job Level
L5
Seniority Level
Mid-Senior level
Position Overview

Reporting to the Vice President, Managed Accounts, the incumbent will work closely with our Advisor teams, assisting them with all operational aspects in managing their fee-based program accounts.

Duties & Responsibilities
  • Oversee modeling and trading activity for discretionary accounts utilizing RGMP’s central service bureau platform.
  • Oversee all portfolio accounting activity for all discretionary accounts are processed accurately and corporate actions elected on a timely basis.
  • Oversee the production of quarterly and annual reports, ensuring data is accurate and delivered on a timely basis.
  • Ensuring operational activity is compliant with firm policy and procedures.
  • Implement updates to departmental procedures based on amended and/or new policies.
  • Work with internal business analysts and third-party software vendors to streamline processes, maximize efficiency, minimize risk, and increase productivity.
  • Transition Advisor teams onto the new platform and empower them to use the system to manage their book of business and grow their client base.
  • Provide product and program expertise for Richardson Wealth’s operational projects.
  • Manage and coach staff.
Skills & Qualifications
  • Minimum 5-10 years’ experience in a fee-based program
  • Strong service orientation that will be reflected in professional client interaction and quality of service delivered.
  • Proficient with portfolio management tools. Experience with Envestnet and/or Dataphile preferred.
  • Strong understanding of portfolio management and trading best practices.
  • Ability to work independently and with minimal guidance.
  • Very thorough and detailed oriented
  • Excellent organizational, interpersonal, written and verbal skills
  • Used to working under time constraints in high volume situations
  • Flexible, team player, self-starter
Education
  • Undergraduate degree in Business preferred.
  • CSC and Level one CFA completed preferred.

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Corporate Development
Reporting To
SVP & Head Corporate Development
Job Id
TOR – 454
Job Level
6
Seniority Level
Director
Position Overview

You will identify qualified Advisor teams who demonstrate excellence in client service, operate a successful practice, and fit with the vision and values of Richardson Wealth. You will be accountable for attracting and managing relationships with quality candidates while ensuring they have an exceptional experience throughout the process. You will also share competitive intelligence, your best advice and ideas with the Corporate Development team to enhance our strategy.

In addition to external activities, you will work with branch management and transition teams to prepare practices to move, while establishing a plan to maximize the enterprise value of practices once they arrive. As part of this role, you may consult on succession plans for existing and future teams, which includes identifying and attracting successors. You will report to the SVP & Head Corporate Development and work with fellow professionals in the Corporate Development team.

Duties & Responsibilities
  • Identify qualified Advisor candidates who will uphold the vision and values of Richardson Wealth and are a fit for our recruitment strategy
  • Lead relationships with candidates and work with Branch Managers colleagues to progress candidates through the recruiting process
  • Contribute consistently to our team CRM and provide regular pipeline reporting to SVP & Head Corporate Development
  • Identify opportunities for improvement or enhancement within recruiting and onboarding processes to ensure a high level of professionalism and excellence
  • Identify campaign and marketing opportunities to share the Richardson Wealth story and promote our brand to ideal prospects
  • Participate in industry events
  • Other relevant duties as assigned
Skills & Qualifications
  • Demonstrates leadership skills and always acts with a high level of professionalism and ethics
  • Driven to make a major impact toward our growth aspirations supported by a proven passion for growing business
  • Ability to identify industry trends that impact recruiting
  • Effective communication skills, organized and solution-oriented
  • Team player with a positive attitude and ability to work with various personality types
Education
  • 5+ years in the finance industry; ideally in recruiting, sales, or wholesale roles in wealth management
  • Demonstrated experience creating and executing sales strategy resulting in a tangible increase in revenue and/or AUM
  • Strong understanding of Advisor compensation, metrics, business practices and both the IIROC and MFDA platforms
  • Strong technical and analytical skills
  • University degree in related fields; Master’s degree is an asset
  • Ability to travel / flexible with respect to working hours

Employment Status
Permanent Full-Time
Location
Vancouver, BC
Department
Corporate
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
TEP – 027
Job Level
L4
Seniority Level
Entry-level
Position Overview

The entry-level financial planner plays a supporting role in the opportunity to work with two of the largest and fastest growing teams within Richardson wealth. The role involves the creation of financial plans for High-Net-Worth clients. The incumbent will work collaboratively with the Advisor teams, alongside the Tax and Estate Department, to develop customized recommendations and strategies in an unbiased and professional manner. This opportunity allows you to grow your experience in managing clients and train with the best in the business.

Duties & Responsibilities

Investment Advisor Support:

Assist the Investment Advisors in preparing account documentation including financial plans, client reviews, presentations, correspondence and reports

  • Responsible for the professional servicing of clients, Advisors and other internal and external partners
  • Respond to requests for information from clients
  • Investigate and resolve inquiries related to accounts
Skills & Qualifications
  • Superior client relationship management skills
  • Demonstrate a professional and friendly manner
  • Excellent verbal and written communication skills in English
  • Relevant experience in the financial sector and/or administrative experience
  • Excellent proficiency with Microsoft Office particularly Word, Excel, PowerPoint and Outlook
  • Strong organizational skills
  • Meticulous attention to detail
  • Ability to prioritize, multitask, work within time constraints and follow-up
  • Ability to work in a team environment
  • Ability to quickly learn new technologies and programs
Education
  • Post-secondary education
  • Currently pursuing or completed CFP
  • Further educational experience and credentials will be an asset (ex. life insurance)

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Operations
Reporting To
Manager, Operations Services
Job Id
TOR – 453
Job Level
L3
Seniority Level
Associate
Position Overview

The Operational Services Representative is a key member of the Operations Services Team supporting front-to-back-office process workflows, fulfilling operational requests, resolving complex operational issues, and providing a high level of service to our advisor teams.

Duties & Responsibilities
  • Process transactions and/or other activities in accordance with established priorities and deadlines on a timely, accurate and efficient basis
  • Review, coordinate and/or approve all requests sent in by advisors to ensure they are in good order prior to processing through clearing broker
  • Coordinate collection and distribution of information to Advisors for items processed internally and / or on behalf of vendors
  • Continuously monitor performance and deliver on operational KPIs
  • Provide technical support to guide and support operational escalations and address any questions or concerns
  • Adhere and execute to best practices and drive continuous improvement by Identifying, suggest and actively participating in process improvements
  • Take a proactive approach to client solutions, collaborating effectively with partners and colleagues to assess customer needs and deliver appropriate solutions
  • Help with ad-hoc projects when needed
Skills & Qualifications
  • Team player, displays passion and an appropriate sense of urgency in completing tasks
  • Very thorough and detailed oriented
  • Ability to work independently with minimal guidance
  • Solid written and oral communication skills
  • Uses sound judgment and exercises strong decision-making skills
  • Comfortable with technology including MS Office suite, web-based platforms
  • Experience using Dataphile an asset but not required.
Education
  • Minimum 1 year experience in financial services, preferably within brokerage or wealth management
  • Canadian Securities Course (CSC) completed preferred

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Operations
Reporting To
Manager, Operations Services
Job Id
TOR – 452
Job Level
L3
Seniority Level
Associate
Position Overview

The Operational Services Representative is a key member of the Operations Services Team supporting front-to-back-office process workflows, fulfilling operational requests, resolving complex operational issues, and providing a high level of service to our advisor teams.

Duties & Responsibilities
  • Process transactions and/or other activities in accordance with established priorities and deadlines on a timely, accurate and efficient basis
  • Review, coordinate and/or approve all requests sent in by advisors to ensure they are in good order prior to processing through clearing broker
  • Coordinate collection and distribution of information to Advisors for items processed internally and / or on behalf of vendors
  • Continuously monitor performance and deliver on operational KPIs
  • Provide technical support to guide and support operational escalations and address any questions or concerns
  • Adhere and execute to best practices and drive continuous improvement by Identifying, suggest and actively participating in process improvements

 

  • Take a proactive approach to client solutions, collaborating effectively with partners and colleagues to assess customer needs and deliver appropriate solutions
  • Help with ad-hoc projects when needed
Skills & Qualifications
  • Team player, displays passion and an appropriate sense of urgency in completing tasks
  • Very thorough and detailed oriented
  • Ability to work independently with minimal guidance
  • Solid written and oral communication skills
  • Uses sound judgment and exercises strong decision-making skills
  • Comfortable with technology including MS Office suite, web-based platforms
  • Experience using Dataphile an asset but not required.
Education
  • Minimum 1 year experience in financial services, preferably within brokerage or wealth management
  • Canadian Securities Course (CSC) completed preferred
  • Post secondary education in business or a related discipline, or an appropriate combination of education and experience required.

Employment Status
Permanent Full-Time
Location
Charlottetown, PEI
Department
Retail
Reporting To
Team Lead and Branch Management
Job Id
CHAR – 002
Job Level
L3
Seniority Level
Associate
Position Overview

Receptionist in professional office setting, assist with branch administrative functions and to assist advisory team with documentation and team administration.

Duties & Responsibilities

Reception functions:

  • Receive, greet, and direct calls and clients
  • Sort and distribute incoming mail
  • Assist to coordinate branch and client meetings, set up boardrooms
  • Accounts payable
  • Order office and kitchen supplies and monitor inventory

Branch functions:

  • Receiving and processing cheques
  • Assist the Branch Administrator in monitoring compliance items
  • New account documentation, recorded and couriered to head office
  • Back up to the Branch Administrator
  • Additional duties as per assigned

Assistant to Investment Advisor functions:

  • Acquire expert knowledge of the documentation process and liaise with back-office staff
  • Assist Investment Advisors with a range of administrative support
  • Answer phones, client inquiries and email client communication
  • Process client banking related transactions
  • Assist with special projects as required
  • Aid in the planning and coordinating of client events
  • Update and open client accounts
  • Backup ensuring transactions are processed on a timely manner
  • Liaise with marketing department
  • Client service-related activities
    • Additional duties as needed
Skills & Qualifications
  • One to three years working experience or education in administration
  • Eager to learn new skills and adapt to a changing working environment
  • Ability to work efficiently, multi-task and maintain professionalism in a high-pressure environment
  • Strong Microsoft Office Suite skills
  • Strong communication and interpersonal skills
  • Detail oriented
  • Organizational skills
Education
  • One to three years education in administration

Employment Status
Permanent Full-Time
Location
Montreal, QC
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
MTL – 035
Job Level
L4
Seniority Level
Associate
Position Overview

We are seeking an individual to join our team in the Montreal office. As an Associate the incumbent will contribute to growing the business by supporting to the Investment Advisor(s), ensuring high-level client service, and providing dedicated specialized administrative support on diverse assignments.

Duties & Responsibilities

Investment Advisor Support:

  • Prepare, analyze, and present reports and recommendations for clients including investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals
  • Manage the execution of transactions on behalf of the Advisor
  • Analyze industry and company data, macro data, develop and maintain financial models

Client Service:

  • Provide a high level of client service which includes responding to phone, mail and electronic enquiries based on knowledge of full service brokerage
  • Attend client meetings as required, including prospect and annual review meetings
  • Provide gold standard client service anticipating client needs and delivering proactive and quality communications to ensure clients are apprised of details related to their accounts

Administration:

  •  Familiarize and adhere to compliance requirements, including all aspects of new and existing account documentation and marketing materials to maintain a culture and operation of risk management
Skills & Qualifications
  • At least 3 years’ experience in the financial services industry
  • Excellent verbal and written communication skills in English and French
  • Strong organizational skills
  • Ability to take initiative and work independently
  • Understanding of industry compliance regulations
  • Strict attention to detail
  • The ability to multi-task
  • Excellent organizational and time management skills
  • Ability to quickly learn new technologies and programs
Education
  • An undergraduate and/or postgraduate degree in Business/Economics or related field
  • Successful completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative

Employment Status
Permanent Full-Time
Location
Montreal, QC
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
MTL – 034
Job Level
L4
Seniority Level
Associate
Position Overview

We are seeking an individual to join our team in the Montreal/pointe-Claire office. As an Associate Investment Advisor the incumbent will contribute to grow the business by working closely with the Investment Advisor(s) to help manage their portfolios, developing new business, and ensuring high-level client service. The candidate will also execute tax planning with or without the tax and estate team. Leading working conditions are offered like working from home.

Duties & Responsibilities

Investment Advisor Support:

  • Prepare investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals.
  • Prepare the tax plan with my nextGen tool.
  • Prospect new clients on the phone, face to face and with social media is a must.
  • Manage the execution of New Issue recommendations and transactions on behalf of the Advisor
  • Assist in research, analysis, asset mix decisions, and investment product selection with an anticipatory mindset
  • Implement changes to portfolios by trading equity, fixed income and money market securities

Business Development:

  • Identify new business development opportunities to gather additional assets and/or increase revenue through client prospecting, acquisition and COI networking
  • Prospecting clients with cold calls, cold walks in participating in a corporate event, or fundraising and prospecting with social media such as LinkedIn is optional.
  • Identify opportunities to gather additional assets and/or increase revenue within the existing client base such as referrals, consolidation of assets, insurance, etc.

Client Service:

  • Deliver a superior client experience in assisting clients with day to day requests and ongoing proactive service calls
  • Assist with regular client communication such as websites, newsletters, and client events
  • Adhere to all firm and regulatory policies by remaining up to date with all the regulatory rules and trading activities as it relates to a client’s account and ensuring that any client interaction is accurately documented
Skills & Qualifications
  • At least 3-5 years’ experience in the financial services industry and/or business development. (optional)
  • Excellent verbal and written communication skills in English and french
  • Exceptional organization and time management skills with the ability to multi-task and problem-solve
  • Ability to take initiative and work independently
  • Ability to meet deadlines
  • Understanding of industry and firm compliance regulations and knowledge of back office procedures
  • Excellent understanding of financial products (Equities, Fixed Income, mutual funds, preferred shares, options etc.)
  • The ability to build relationships within a sales and entrepreneurial environment
  • A strong understanding of accounting and financial analysis principles as well as modeling skills
  • Ability to quickly learn new technologies and programs
Education
  • An undergraduate and/or postgraduate degree in Business/Economics or a related field
  • Successful completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Wealth Management Essentials (WME)
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as a Registered Representative
  • Financial planner
  • Insurance an advantage

Employment Status
Temporary Part-Time
Location
Edmonton, AB
Department
Retail
Reporting To
Investment Advisor(s) and Team
Job Id
EDM – 023
Job Level
L3
Seniority Level
Associate
Position Overview

The ideal applicant will be an active team member in a growing wealth management business in the Edmonton office. The individual will contribute to supporting the Investment Advisor(s) and team, ensuring high-level client service, through administration-related tasks.

Duties & Responsibilities

Investment Advisor Support:

  • Schedule and co-ordinate all meetings with clients and team
  • Ensure meeting rooms are booked and prepared for all meetings
  • Note taking during all client meetings, with post-meeting follow ups for team members
  • Sending clients appointment reminders, emails on birthdays and anniversaries
  • Sending out basic client information emails (stat holiday reminders, etc.)

Client Service:

  • Deliver high standards of service and communication to clients
  • Assist and provide online access to clients
  • Investigate and resolve inquiries related to client accounts and forms
  • Update client relationship management software application for all interactions

Administration:

  • Assist in preparing account documentation for new and existing clients
  • Monitor all pending and outstanding documentation, diarize to follow up regularly
  • Organize Mastercard statements and match and attach related receipts
  • Filing and general administrative office duties as required
  • Adhere to professional practices and standards, as well as internal processes and controls
Skills & Qualifications
  • Superior client relationship management skills
  • Excellent verbal and written communication skills in English
  • Relevant experience in the financial sector and/or administrative experience an asset
  • Excellent proficiency with Microsoft Office particularly Word, Excel, PowerPoint and Outlook
  • Experience with Client Relationship Management (CRM) systems such as Maximizer
  • Strong organizational skills
  • Meticulous attention to detail
  • Ability to prioritize, multitask, work within time constraints and follow-up
  • Ability to work in a team environment, demonstrating a professional and friendly manner
  • Ability to quickly learn new technologies and programs
Education
  • Post-secondary education an asset
  • Completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) is an asset

Employment Status
Permanent Full-Time
Location
Ottawa, ON
Department
Retail
Reporting To
Portfolio Manager(s) and Branch Management Team
Job Id
OTT – 007
Job Level
L3
Seniority Level
Associate
Position Overview

We are seeking an individual to join our team in the Ottawa office. As an Assistant the incumbent will contribute to growing the business by providing support to the Portfolio Manager(s), ensuring high-level client service, and effective functioning of the team through administration-related tasks.

Duties & Responsibilities

Portfolio Manager Support:

  • Responsible for the professional servicing of incoming telephone and email contacts from clients, Advisors and other internal and external partners
  • Assist the Portfolio Manager(s) in preparing account documentation including client reviews, presentations, correspondance and reports

Client Service:

  • Foster and support client relationships
  • Respond to requests for information from clients
  • Investigate and resolve inquiries related to accounts
  • Request information and documentation from clients in order to open accounts and keep client files up to date
  • Follow up on client trades to ensure proper settlement and delivery

Administration:

  • Maintain expense records and spreadsheets
  • Filing and general administrative office duties as required
  • Adhere to professional practices and standards, as well as internal processes and controls
Skills & Qualifications
  • Superior client relationship management skills
  • Demonstrate a professional and friendly manner
  • Excellent verbal and written communication skills in English (French an asset)
  • Relevant experience in the financial sector and/or administrative experience
  • Excellent proficiency with Microsoft Office particularly Word, Excel, PowerPoint and Outlook
  • Strong organizational skills
  • Meticulous attention to detail
  • Ability to prioritize, multitask, work within time constraints and follow-up
  • Ability to work in a team environment
  • Ability to quickly learn new technologies and programs
Education
  • Post-secondary education
  • Successful completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative

Employment Status
Permanent Full-Time
Location
Calgary, AB
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
CGY – 073
Job Level
L3
Seniority Level
Associate
Position Overview

We are seeking an individual to join our team in the Calgary office. As an Associate the incumbent will contribute to growing the business by supporting the Investment Advisor(s), ensuring high-level client service, and providing dedicated specialized administrative support on diverse assignments, including personal financial planning and wealth management.

Duties & Responsibilities

Investment Advisor Support:

  • Prepare, analyze, and present reports and recommendations for clients including investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals
  • Manage the execution of transactions on behalf of the Advisor
  • Analyze industry and company data, macro data, develop and maintain financial models
  • Market analysis and software specialties to compare benchmarks to support Investment Advisor(s)
  • New Products Research (insurance, mutal funds, equities, tax law, philanthropy)

Client Service:

  • Provide a high level of client service which includes responding to phone, mail and electronic enquiries based on knowledge of full service brokerage
  • Attend and present client meetings as required, including prospect and annual review meetings
  • Provide gold standard client service anticipating client needs and delivering proactive and quality communications to ensure clients are apprised of details related to their accounts
  • Patricipate in the end-to-end wealth planning experience, from discovery to financial planning analysis, development of high value financial plans and recommendations
  • Support the growth and retention of clients assets by providing wealth planning support to Investment Advisors, including but not limited to Retirement Projections, Pension Analysis, Income Splitting Analysis, Probate Analysis, CPP timing Analysis, Insurance Needs Analysis.

Administration:

  •  Familiarize and adhere to compliance requirements, including all aspects of new and existing account documentation and marketing materials to maintain a culture and operation of risk management
Skills & Qualifications
  • At least 3 years’ experience in the financial services industry
  • Excellent verbal and written communication skills in English
  • Strong organizational skills
  • Ability to take initiative and work independently
  • Understanding of industry compliance regulations
  • Strict attention to detail
  • The ability to multi-task
  • Excellent organizational and time management skills
  • Ability to quickly learn new technologies and programs
  • Ability to effectively prioritize and execute tasks while under pressure
  • Strong analytical skills
  • Working knowledge of financial of financial planning software (Naviplan) is considered an asset
Education
  • An undergraduate and/or postgraduate degree in Business/Economics or related field
  • Successful completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative

Employment Status
Permanent Full-Time
Location
Winnipeg, MB
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
WPG – 012
Job Level
L3
Seniority Level
Associate
Position Overview

As an Associate the incumbent will contribute to growing the business by supporting to the Investment Advisor(s), ensuring high-level client service, and providing dedicated specialized administrative support on diverse assignments.

Duties & Responsibilities

Investment Advisor Support:

  • Prepare, analyze, and present reports and recommendations for clients including investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals
  • Manage the execution of transactions on behalf of the Advisor
  • Analyze industry and company data, macro data, develop and maintain financial models 

Client Service:

  • Provide a high level of client service which includes responding to phone, mail and electronic enquiries based on knowledge of full service brokerage
  • Attend client meetings as required, including prospect and annual review meetings
  • Provide gold standard client service anticipating client needs and delivering proactive and quality communications to ensure clients are apprised of details related to their accounts

Administration:

  •  Familiarize and adhere to compliance requirements, including all aspects of new and existing account documentation and marketing materials to maintain a culture and operation of risk management
Skills & Qualifications
  • At least 3 years’ experience in the financial services industry
  • Excellent verbal and written communication skills in English
  • Strong organizational skills
  • Ability to take initiative and work independently
  • Understanding of industry compliance regulations
  • Strict attention to detail
  • The ability to multi-task
  • Excellent organizational and time management skills
  • Ability to quickly learn new technologies and programs
Education
  • An undergraduate and/or postgraduate degree in Business/Economics or related field
  • Successful completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative

Employment Status
Temporary Full-Time
Location
Saskatoon, SK
Department
Retail
Reporting To
Director, Wealth Management and Branch Management Team
Job Id
SAS – 004
Job Level
L3
Seniority Level
Associate
Position Overview

We are seeking an individual to join our team in the Saskatoon office. As an Associate Investment Advisor the incumbent will contribute to grow the business by working closely with the Investment Advisor(s) to help manage their portfolios, developing new business, and ensuring high-level client service.

Duties & Responsibilities

Investment Advisor Support:

  • Prepare investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals
  • Manage the execution of New Issue recommendations and transactions on behalf of the Advisor
  • Assist in research, analysis, asset mix decisions, and investment product selection with an anticipatory mindset
  • Implement changes to portfolios by trading equity, fixed income and money market securities

Business Development:

  • Identify new business development opportunities to gather additional assets and/or increase revenue through client prospecting, acquisition and COI networking
  • Identify opportunities to gather additional assets and/or increase revenue within the existing client base such as referrals, consolidation of assets, insurance, etc.

Client Service:

  • Deliver a superior client experience in assisting clients with day to day requests and ongoing proactive service calls
  • Assist with regular client communication such as websites, newsletters, and client events
  • Adhere to all firm and regulatory policies by remaining up to date with all the regulatory rules and trading activities as it relates to a client’s account and ensuring that any client interaction is accurately documented
Skills & Qualifications
  • At least 5 years’ experience in the financial services industry
  • Excellent verbal and written communication skills in English
  • Exceptional organization and time management skills with the ability to multi-task and problem-solve
  • Ability to take initiative and work independently
  • Ability to meet deadlines
  • Understanding of industry and firm compliance regulations and knowledge of back office procedures
  • Excellent understanding of financial products (Equities, fixed Income, mutual funds, preferred shares, options etc.)
  • The ability to build relationships within a sales and entrepreneurial environment
  • A strong understanding of accounting and financial analysis principles as well as modeling skills
  • Ability to quickly learn new technologies and programs
Education
  • An undergraduate and/or postgraduate degree in Business/Economics or related field
  • Successful completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Wealth Management Essentials (WME)
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as a Registered Representative

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Finance
Reporting To
Director, Finance & Tax
Job Id
FIN – 017
Job Level
L3
Seniority Level
Associate
Position Overview

Work with the Finance team to maintain and support the Dynamics 365 Finance and Operation modules through technical design, configurations, and discussions.

Duties & Responsibilities
  • Manage and maintain Dynamics 365 Finance and Operation platform
  • Execute on all D365 and related configuration and development work aspects
  • Serve as a Subject Matter Expert (SME) within all aspects of D365 and collaborate with the Finance Team and Executive Team to understand the business requirements and conduct gap analysis
  • Prepare requirements and offer holistic solutions. Identify opportunities to improve the functionality and enhance the acceptance of Dynamics 365
  • Design, configuration and test enhancements for acceptance and accuracy Provide general usability guidance through training and prepare reference materials for end-users
  • Monitor, maintain and help to analyze data, workflows, integrations, and API processing
  • Grow and maintain the basic structure and core design features
Skills & Qualifications
  • Minimum of 5 years of experience in Dynamics 365 Tenant configuration, application management and application development
  • Must have an expert in Power Platform (PowerApps, MS Flow and Power BI)
  • Good knowledge of Dynamics 365 Setup and migration process, Report Development, Workflows, and Power Platform is mandatory
  • Ability to grasp complex business concepts quickly to provide efficient input
  • Understanding of CRM API, ODATA and SOAP endpoints
  • Prefer to have experience with .NET, SQL Server, JavaScript, SSRS and C#
Education
  • Post-secondary education is an asset but not required

Employment Status
Temporary Full-Time
Location
Toronto, ON
Department
Account Transfers
Reporting To
Manager, Account Transfers
Job Id
AT – 021
Job Level
L3
Seniority Level
Associate
Position Overview

Primary responsibility is to successfully deliver mandated service levels in the areas of processing, customer service, proactive support and administration.  This position will provide excellent customer service and professionalism during dealings with Wealth Management Division branch network and external contacts.

Duties & Responsibilities
  • Perform quality control on all incoming transfer requests.  Verify transfer documents are in good order.  Communicate discrepancies to the internal contacts in a timely manner
  • Timely and accurate set up of client transfers with seamless processing of transfers using systems such as CDS, FundSERV, Arrow, Dataphile and OTRS
  • Investigate all rejected transfers of accounts and communicate the issues to the advisor teams for resolution
  • Prioritize demanding tasks and be able to complete all the necessary items in a timely fashion
  • Liaise with branch personnel in responding to their queries and educating them on current operating policies and procedures. Follow-up on outstanding issues
  • Write content for internal communications to the branches which is grammatically correct, complete and professional
  • Exercise sound judgment to resolve difficult and delicate issues.  Assess when to escalate internally in order to provide the expected or higher level of service to the client
  • Be a knowledgeable and a valued source of information on Account Transfers procedures and be able to communicate such information to Richardson Wealth Limited branches
  • Reconcile Account Transfers control accounts daily.  The positions and cash balances must be zero by the end of business day
  • Cross train in other functions within the department
Skills & Qualifications
  • 3 – 5 years Account Transfers experience preferred
  • Proficient in Microsoft Word, Excel, PowerPoint, Internet Explorer and Outlook
  • Familiarity with ATON, FUNDcom (FundSERV), CDS and Arrow
  • Sound financial industry knowledge related to back office brokerage operations and requirements including Compliance regulatory requirements.  Knowledge of Securities Cage, Registered Products and Mutual Funds operations are good assets
  • Excellent telephone customer service and problem solving skills
  • Ability to handle inquiries from several sources (i.e. email, phone, fax, incident tracking system) and provide high quality responses and follow in house methodologies for tracking and follow-up
  • Solutions oriented (able to think outside the box by suggesting solution rather than declining request for service that is not supported)
  • Experience with Dataphile is an asset but not required
Education
  • Post secondary education required
  • Canadian Securities Course (CSC) preferred

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Risk and compliance
Reporting To
SVP, Chief Risk Officer, CCO
Job Id
CPL – 077
Job Level
L6
Seniority Level
Management
Position Overview

The Vice President, Product Compliance will proactively support our Product teams by providing compliance advice, management and support for the successful origination, promotion, syndication and distribution of market products including public and exempt market offerings, alternatives and other niche products. This position will also support critical controls related to material non-public information and conflicts of interest.

Duties & Responsibilities
  • Transactional Advice: Provide compliance support of product structure, syndication and distribution working closely with front office teams with a comfort level in providing just in time advice for pressing transactional issues and product fulfillments.
  • Product and Transaction Due Diligence: Provide comprehensive compliance support in the due diligence process supporting new names and new issues that are to be originated and/or distributed through RWL pursuant to New Product and Transaction Due Diligence procedures and other requirements.
  • Policies, Procedures and Practice: Provide direct support and drafting by ensuring policies and procedures related to capital markets distribution are consistent with firm requirements, risk tolerance and are up to date; working with the Legal team to ensure that all material legislative changes are considered and reflected in capital markets procedure and operations.
  • Regulatory Audit and Reviews: Provide support to regulatory requests for information related to capital markets and investment products, working with the Director, Capital Markets and Investment Products and the VP, Risk.
  • Control Room Management: Be the compliance gatekeeper for control room activities to ensure that material nonpublic information related to proprietary of other issuances is controlled, recorded, managed through active review of grey and restricted lists and that information barriers are maintained.
  • Project Support: Participate in special projects and other duties as required
Skills & Qualifications
  • A team player, leader, independent thinker and business minded
  • Excellent written and oral communication
  • 8-12+ years in a business, legal and/or compliance role with an investment dealer or in securities practice with a law firm, or working in a regulatory authority
  • Service and transaction oriented with an ability to remain professional under pressure
  • Sound judgment and integrity
  • Ability to think and act proactively
  • Self-motivated and interested in ongoing learning and professional development
  • Proficient with Microsoft Office Suite
Education
  • An undergraduate degree in business or economics is an asset
  • The completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH)

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Risk and compliance
Reporting To
Sr Manager, Regulatory Services
Job Id
CPL – 076
Job Level
L3
Seniority Level
Associate
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

Education

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

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Corporate Retail
Reporting To
Branch Manager
Job Id
TOR – 059
Job Level
L4
Seniority Level
Mid-Senior
Position Overview

The Branch Administrator fulfils a leadership role in the branch providing operational and administrative support to Advisor teams. The Branch Administrator fulfils a diverse role which includes managing branch staff, liaising with internal departments, providing software and process related training, supporting human resources functions such as recruitment and employee relations and managing the branch facilities and equipment.

Duties & Responsibilities
  • Implement directives and initiatives of Branch Manager and Head Office to ensure branch efficiencies and management
  • Enforce the implementation of company policies, programs and processes to ensure better team and client experience
  • Provide basic technology support to new teams and employees and liaise with IT Support as needed
  • Ensure all internal and external employment standards are met in the branch
  • Supervise support staff and conduct monthly meetings to ensure they are aware of any updates that affect their role/business
  • Share knowledge and any relevant industry news with branch staff and take initiative to share knowledge and experience of others to better the branch as a whole
  • Identify training needs and implement solutions to fill gaps by using tools and head office support
  • Coordinate and deliver training to new hires and provide ongoing training support for existing employees
  • Ensure operational controls are being adhered to
  • Attend seminars and professional development courses to stay abreast of industry changes
  • Support advisors in the fair management and professional development of new and existing team members
  • Provide HR guidance to teams (e.g, new hire, disciplinary measures, terminations, benefits, payroll etc)
  • Play a role in ensuring projects and initiatives go through proper change management
  • Develop a collaborative and positive branch culture where team opinion/feedback are valued and considered
Skills & Qualifications
  • Proficient in English, oral and written
  • Proven experience as a Branch Administrator for a medium to large branch
  • Solid knowledge of technology platforms and ability to provide basic support
  • Ability to work efficiently, multi-task and maintain professionalism in a high-pressure environment
  • Strong operational efficiency, organizational skills and ability to prioritize
  • Ability to work under pressure
  • Autonomy, initiative and attention to detail
  • Current knowledge of compliance issues published in internal bulletins
  • Excellent phone and e-mail etiquette, delivering high standards of customer service
  • 5 to 10 years’ experience in the financial sector
  • Canadian Securities Course (CSC) and Conduct and Practice Handbook (CPH) Course completed, IR Licensed with IIROC preferred
Education
  • Canadian Securities Course (CSC) and Conduct and Practice Handbook (CPH) Course completed, IR Licensed with IIROC preferred

Employment Status
Permanent Full-Time
Location
Calgary, AB
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
CGY – 090
Job Level
L3
Seniority Level
Associate
Position Overview

We are seeking an individual to join our team in the Calgary office. As an Associate the incumbent will contribute to growing the business by supporting to the Investment Advisor(s), ensuring high-level client service, and providing dedicated specialized administrative support on diverse assignments.

Duties & Responsibilities

Investment Advisor Support:

  •  Prepare, analyze, and present reports and recommendations for clients including investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals
  • Manage the execution of transactions on behalf of the Advisor
  • Analyze industry and company data, macro data, develop and maintain financial models

Client Service:

  • Provide a high level of client service which includes responding to phone, mail and electronic enquiries based on knowledge of full service brokerage
  • Attend client meetings as required, including prospect and annual review meetings
  • Provide gold standard client service anticipating client needs and delivering proactive and quality communications to ensure clients are apprised of details related to their accounts

Administration:

  • Familiarize and adhere to compliance requirements, including all aspects of new and existing account documentation and marketing materials to maintain a culture and operation of risk management
Skills & Qualifications
  • At least 3 years’ experience in the financial services industry
  • Excellent verbal and written communication skills in English
  • Strong organizational skills
  • Ability to take initiative and work independently
  • Understanding of industry compliance regulations
  • Strict attention to detail
  • The ability to multi-task
  • Excellent organizational and time management skills
  • Ability to quickly learn new technologies and programs
Education
  • An undergraduate and/or postgraduate degree in Business/Economics or related field
  • Successful completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative

Employment Status
Permanent Full-Time
Location
Calgary, AB
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
CGY – 087
Job Level
L3
Seniority Level
Associate
Position Overview

We are seeking an individual to join our team in the Calgary office. As an Assistant the incumbent will contribute to growing the business by providing support to the Investment Advisor(s), ensuring high-level client service, and effective functioning of the team through administration-related tasks.

Duties & Responsibilities

Investment Advisor Support:

  • Responsible for the professional servicing of incoming telephone and email contacts from clients, Advisors and other internal and external partners
  • Assist the Investment Advisor(s) in preparing account documentation including client reviews, presentations, correspondance and reports

Client Service:

  • Foster and support client relationships
  • Respond to requests for information from clients
  • Investigate and resolve inquiries related to accounts
  • Request information and documentation from clients in order to open accounts and keep client files up to date
  • Follow up on client trades to ensure proper settlement and delivery

Administration:

  • Maintain expense records and spreadsheets
  • Filing and general administrative office duties as required
  • Adhere to professional practices and standards, as well as internal processes and controls
  • Responsible for team scheduling and calendar management
Skills & Qualifications
  • Superior client relationship management skills
  • Demonstrate a professional and friendly manner
  • Excellent verbal and written communication skills in English
  • Relevant experience in the financial sector and/or administrative experience
  • Excellent proficiency with Microsoft Office particularly Word, Excel, PowerPoint and Outlook
  • Experience with Client Relationship Management (CRM) systems such as Maximizer
  • Strong organizational skills
  • Meticulous attention to detail
  • Ability to prioritize, multitask, work within time constraints and follow-up
  • Ability to work in a team environment
  •  Ability to quickly learn new technologies and programs
Education
  • Post-secondary education
  • Completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) is an asset

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Risk and compliance
Reporting To
Sr Manager, Regulatory Services
Job Id
CPL – 065
Job Level
L3
Seniority Level
Associate
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
Education
  • University degree in business administration, accounting, finance or related field,
  • Canadian Securities Course and Conduct Practices & Handbook Course, an asset

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Risk and compliance
Reporting To
Sr Manager – Compliance Services & Advisor Support
Job Id
CPL – 063
Job Level
L4
Seniority Level
Mid-Senior
Position Overview

The primary responsibilities of the Senior Compliance Advisor is as an experienced resource for employees and other industry-related professionals regarding industry regulations, with a focus on AML. The primary responsibilities will be geared towards retail compliance including daily and monthly trade/account surveillance, responding to queries of the Investment Advisors and their team, Branch Management Team and other departments. This role also acts as an escalation point for the Compliance Advisors.

Duties & Responsibilities
  • Execution of the AML program including unusual and/or suspicious activity reviews and ongoing scrubbing of Clients
  • Governance and documentation for management of high risk clients approvals and account activity as outlined by FINTRAC and in Investment Industry Regulatory Organization of Canada (IIROC) policies and other regulatory/corporate guidelines
  • Support vendor management with external parties as it relates to AML/ATF screening functionality and configuration
  • Ensure that required actions arising from reviews are completed within reasonable timeframes and records are appropriately filed in the central location within the Compliance Department
  • Monitor business conduct for risk resulting from regulatory non-compliance and recommend course of action
  • Functions as a key point of contact and resource regarding compliance policies and procedures, including effectively communicating requirements or concerns to Advisors and branch teams
  • Identify trends developing for specific advisors and/or client accounts with an emphasis on AML potential conflicts of interest and unusual transactions, conducting detailed analysis regarding compliance policies and procedures, including effectively communicating requirements and escalating concerns to the Sr Manager of compliance Services and/or Deputy CCO where necessary
  • Exercise due diligence in following Richardson Wealth (RWL) procedures, policies and guidelines
  • Continually evaluate and lead enhancements to the effectiveness of departmental procedures and participate in developing, maintaining and implementing changes to the policies and procedures
  • Liaise with Operations, Compliance and Credit on AML and Compliance related issues where requiredMaintain an in-depth understanding of compliance requirements for the brokerage industry and share knowledge, issues and challenges as well as sustain knowledge level for regulations
  • Work on special projects as requested
Skills & Qualifications
  • Minimum five years of experience in a compliance role, preferably with an IIROC or similar background (e.g. Investment dealer)
  • Strong verbal and written communication skills
  • Strong understanding of how the investment/securities industry functions and be able to apply that knowledge to RWL internal processes
  • Good understanding of regulatory requirements and industry rules across Canada
  • Good understanding of trading practices, market structure, risk factors, and general characteristics associated with the various securities and investment strategies in order to perform day-to-day analysis
  • Ability to use initiative and work with minimal supervision
  • Leadership skills and exercise good judgment on regulatory and supervisory issues
  • Self-motivated and interested in ongoing learning and professional development (including attendance of regulatory or educational conferences and seminars)
  • Working knowledge of MS Applications including Word, Excel, Access, and PowerPoint
  •  Strong computer and technology skills and familiarity with industry software would be an asset (including Dataphile, PortfolioAid and Open-Source Ticket Request System (OTRS))
Education
  • University degree or college diploma
  • Completion of the Canadian Securities Course (CSC);
  • Certified Anti-Money Laundering Specialist (CAMS) designation
  •  Completion of Derivatives Fundamentals Course (DFC), Options Licensing Course (OLC), Option Supervisor Course (OPSC) and Branch Managers Course (BMC) are an asset

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Risk and compliance
Reporting To
Vice President, Regulatory Change
Job Id
CPL – 060
Job Level
L5
Seniority Level
Mid-Senior
Position Overview

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
Education
  • Completion of the Canadian Securities Course (CSC), and Conduct and Practices Handbook Course (CPH)
  • Investment Dealers Supervisors Course an asset
  • Post-secondary degree

Employment Status
Permanent Full-Time
Location
Guelph, ON
Department
Retail
Reporting To
Portfolio Manager, Investment Advisor
Job Id
GUE – 006
Job Level
L4
Seniority Level
Associate
Position Overview

The Wealth Planning Associate will work collaboratively with their team and utilize the Tax and Estate Planning team, as well as Investment Advisors and Insurance Consultants, to prepare comprehensive financial plans and advise on insurance options for High Net Worth clients.

Working with the Advisor team, would use an integrated approach to planning. The applicant would develop customized recommendations and strategies in an unbiased and professional manner to address the complex tax, financial, philanthropic, estate, insurance and business succession needs of our clients.

Duties & Responsibilities

To be able to prepare, understand and communicate detailed financial projections (including net worth, cash flows and income tax) to team members, Investment Advisors and clients. This will include the following:

  • To collect the necessary information and documentation required from clients
  • Utilize financial planning software to develop financial projections
  • Understand client’s potential insurance needs and provide expertise on what options are available
  • Review wealth plans for accuracy
  • Summarize a client’s situation, analyze alternate solutions, and communicate the financial planning opportunities
  • To prepare written tax and financial planning recommendations within the context of the comprehensive wealth plan
  • Meet with clients to determine needs analysis and deliver completed insurance policies
  • Provide insurance, tax and financial planning information in response to telephone and e-mail inquiries from clients and Investment Advisor team
Skills & Qualifications
  • 7 years or more work experience in a relevant field
  • Advanced knowledge and use of Microsoft Word, Excel and PowerPoint
  • Excellent understanding of Canadian Income Taxes and Insurance Strategies
  • Demonstrated experience working with High-Net-Worth clients preferred
  • Knowledge and familiarity with use of Financial Planning Software
  • Strong interpersonal skills
  • Excellent verbal and written communication skills
  • Attention to detail/accuracy
  • Strong organizational skills
  • Analytical skills and the ability to suggest alternative solutions to complex problems
  • Ability to work independently and as part of a team
Education
  • University or college degree
  • Insurance licensed
  • Completion of Financial Planning designation (CFP, PFP)
  • Detailed knowledge of corporate and individual taxation in Canada
  • 2-5 years of insurance administration management
  • Successful completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH)

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
TOR – 056
Job Level
L4
Seniority Level
Associate
Position Overview

We are seeking an individual to join our team in the Toronto office. As an Associate the incumbent will contribute to growing the business by supporting to the Investment Advisor(s), ensuring high-level client service, and providing dedicated specialized administrative support on diverse assignments.

Duties & Responsibilities

Investment Advisor Support:

  • Prepare, analyze, and present reports and recommendations for clients including investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals
  • Manage the execution of transactions on behalf of the Advisor
  • Analyze industry and company data, macro data, develop and maintain financial models
  • Implement changes to portfolios by trading equity, fixed income and money market securities

Client Service:

  • Provide a high level of client service which includes responding to phone, mail and electronic enquiries based on knowledge of full service brokerage
  • Attend client meetings as required, including prospect and annual review meetings
  • Provide gold standard client service anticipating client needs and delivering proactive and quality communications to ensure clients are apprised of details related to their accounts
  • Assist with the preparation of regular client communication such as websites, newsletters, and client events

Administration:

  •  Familiarize and adhere to compliance requirements, including all aspects of new and existing account documentation and marketing materials to maintain a culture and operation of risk management
Skills & Qualifications
  • At least 3 years’ experience in the financial services industry
  • Excellent verbal and written communication skills in English
  • Strong organizational skills
  • Excellent proficiency with Microsoft Office particularly Word, Excel, PowerPoint and Outlook
  • Ability to take initiative and work independently
  • Understanding of industry compliance regulations
  • Strict attention to detail
  • The ability to multi-task
  • Excellent organizational and time management skills
  • Ability to quickly learn new technologies and programs
Education
  • An undergraduate and/or postgraduate degree in Business/Economics or related field
  • Successful completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment (Registered) Representative
  • Completion of, or striving to complete CFP and Options Licensing Course

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Training & Development
Reporting To
VP, Advisor Experience & Growth
Job Id
NS – 012
Job Level
L5
Seniority Level
Mid-Senior
Position Overview

The Training Design and Delivery Specialist will work with various Richardson Wealth departments to create, produce, deliver, and provide competency-based training plans. The role will focus on training strategy for Advisor facing projects and initiatives. The incumbent will provide innovative and engaging learning experiences by producing a variety of training tools and resources. The Specialist will also be required to facilitate classroom-style /web-based training sessions and introduce creative approaches for improved proficiency and efficiency. The Specialist will work closely with the Sr. Training Specialist to professionalize and elevate the learning experience at Richardson Wealth.

Duties & Responsibilities
  • Collaborate with Project Management teams and subject matter experts to identify target audience’s training requirements and needs
  • Create training plans and strategies for large scale Advisor facing projects and programs centered on systems, procedures, and business management tools
  • Organize and deliver classroom and remote training sessions as required
  • Work closely with Communications to ensure training deliverables and changes are well communicated and understood by Advisor teams
  • Evaluate the effectiveness of training by designing and managing post-implementation measurement tools and conducting post-mortems
  • Design assessments for verifying learner knowledge and capability and provide summarized reporting
  • Ensure training content is kept up to date on a regular basis by deploying a review/update process that is maintained
Skills & Qualifications
  • 5-8 years of demonstrated formal training and design experience
  • Project planning
  • Instructional design
  • e-learning software (Articulate Storyline / Snagit / SharePoint)
  • Interpersonal, written and verbal communication and presentation
  • Technical skills or the ability to understand technological processes
  • Apply adult learning principles
  • Think critically and ask targeted questions to determine needs and respond appropriately
  • Think creatively to design learning materials that are engaging
  • Learn quickly; demonstrate dependability, professionalism and innovation
Education
  • Formal instructional design experience preferred, including conducting needs assessment
  • Experience with multiple delivery methods, including e-learning initiatives
  • Experience in a training or classroom environment preferred.
  • Post-secondary education in learning principles and/or certification in adult continuing education or instruction skills is an asset.
  • Experience in the financial services or brokerage industry is preferred but not required

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Products & Services
Reporting To
VP, Fee Based & Managed Accounts
Job Id
PS – 016
Job Level
L5
Seniority Level
Mid-Senior
Position Overview

Working directly with our Richardson Wealth Investment Advisors, Portfolio Managers and their teams, you will leverage your specialized knowledge and advanced skill set to coach and help enable their business development and growth.  As a proactive individual, you will seek to professionalize and improve Portfolio Managers’ practice by leveraging new tools like Envestnet and new capabilities like Unified Managed Accounts to drive greater efficiencies and deliver a better Advisor and Client experience.

Duties & Responsibilities
  • Work directly with Advisors and Portfolio Managers to best understand their business needs and ultimately unlock further capacity and efficiencies to foster growth and an improved client/advisor experience
  • Identify areas of opportunities with Advisor teams on how they can leverage Unified Managed Accounts as a building block within their Portfolio Management investment practice
  • Act as a subject matter expert of the Envestnet capabilities to tie best practices of its use for Advisors to adopt and migrate towards model management, managed products and Unified Managed Accounts where it makes sense for those teams.
  • Facilitate and triage Advisor/PM questions and issues related to the interaction of the Envestnet tool with their advisory practice.
  • Act as a coach to facilitate and prepare Investment Advisors to transition, adapt and grow assets into our new Unified Managed Accounts (UMA) program.
  • Collaborate with our internal Practice Management team to identify opportunities to help drive increased revenue through improved client pricing practices under a UMA umbrella that aligns to a wider range of services and products being offered.
  • Collaborate with the RWL Action Desk to identify opportunities among Richardson Advisors where appropriate to introduce new product ideas, drive centralized managed solutions and Richardson proprietary models and portfolios.
  • Support the growth of the fee-based growth strategy and UMA with the Envestnet user experience
  • Overall, help champion the successful implementation of a new Portfolio Management Tool that delivers:
    • ­Improved Advisor Experience
    • ­Increased automation of portfolio activities/unlock Advisor capacity
    • Best in class Client Experience
    • Growing fee based and specifically UMA assets
Skills & Qualifications
  • Current/previous experience in a professional development role supporting Advisory practices
  • You demonstrate a good understanding of Advisors and Portfolio Managers needs and challenges that face their business
  • Adept at creating and delivering business development plans material to wealth professionals
  • Comfortable with travel to interact with Advisors face to face as required.
  • Experience presenting to Advisors and Branch staff
Education
  • Bachelors degree, preferably in business or related field of study
  • CSC, CPH
  • RR licensed considered an asset
  • IIROC PM licensed considered an asset

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
TOR – 334
Job Level
L5
Seniority Level
Mid-Senior
Position Overview

We are seeking an individual to join our team in the Toronto office. As an Associate Investment Advisor the incumbent will contribute to grow the business by working closely with the Investment Advisor(s) to help manage their portfolios, developing new business, and ensuring high-level client service.

Duties & Responsibilities

Investment Advisor Support:

  • Prepare investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals
  • Manage the execution of New Issue recommendations and transactions on behalf of the Advisor
  • Assist in research, analysis, asset mix decisions, and investment product selection with an anticipatory mindset
  • Implement changes to portfolios by trading equity, fixed income and money market securities

Business Development:

  • Identify new business development opportunities to gather additional assets and/or increase revenue through client prospecting, acquisition and COI networking
  • Identify opportunities to gather additional assets and/or increase revenue within the existing client base such as referrals, consolidation of assets, insurance, etc.

Client Service:

  • Deliver a superior client experience in assisting clients with day to day requests and ongoing proactive service calls
  • Assist with regular client communication such as websites, newsletters, and client events
  • Adhere to all firm and regulatory policies by remaining up to date with all the regulatory rules and trading activities as it relates to a client’s account and ensuring that any client interaction is accurately documented
Skills & Qualifications
  • At least 5 years’ experience in the financial services industry
  • Excellent verbal and written communication skills
  • Exceptional organization and time management skills with the ability to multi-task and problem-solve
  • Ability to take initiative and work independently
  • Ability to meet deadlines
  • Understanding of industry and firm compliance regulations and knowledge of back office procedures
  • Excellent understanding of financial products (Equities, fixed Income, mutual funds, preferred shares, options etc.)
  • The ability to build relationships within a sales and entrepreneurial environment
  • A strong understanding of accounting and financial analysis principles as well as modeling skills
  • Ability to quickly learn new technologies and programs
Education
  • An undergraduate and/or postgraduate degree in Business/Economics or related field
  • Successful completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Wealth Management Essentials (WME)
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as a Registered Representative