Job listings

Position Overview

We are seeking an individual to join our team in the Toronto 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, NAAF and KYC Updates
• Assist the Investment Advisor (s) in preparing client meeting, Tax Packages, Data Integrity and other Administrative task assigned

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 controlsdministration-related tasks.

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)
• 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

Position Overview

The ideal applicant will be an active team participant in an expanding high net worth holistic wealth management business and will be responsible for providing worldclass, client-centered service in the Assistant role. This individual will work as an integral part of a highly motivated team, all of whom understand that our clients are the cornerstone of our business and that in everything we do, the interest of our clients come first.

The Wealth Advisory team differentiates itself through relentless adherence to its four core principles: Respect for our clients, Integrity, Discipline and Independent Thinking. Our branch emanates through consistent timely delivery of best-in-class service to our clients, prospects, and other business stake holders.

Duties & Responsibilities

• Acquire expert knowledge of the documentation process and liaise with back office staff
• Directing daily flow of work
• Answer phones, client inquiries and email client communication
• Provide high level service to clients, priority management and multitasking
• Process client banking related transactions
• Request transfers and follow to completion
• Assist with special projects as required to improve efficiency in the business
• Verify trades promptly for clients as required
• Update and open client accounts
• Monitor client accounts ensuring transactions such as wires, market orders, contributions, cash journals and withdrawals are processed on a timely manner
• Provide marketing support to the team as required
• Meeting and agenda preparation
• Create, implement and maintain new processes for work efficiency within the team
• Update and keep current the CRM system

Skills & Qualifications

• Excellent oral and written skills
• Strong communication and interpersonal skills
• Knowledge of Word, Excel and PowerPoint
• Ability to balance time pressures and deadlines with conflicting demands
• Autonomy, initiative and meticulous attention to detail
• Strong fact finding and problem-solving skills

Education

• Relevant industry related experience
• University Degree or College Diploma
• CSC and CPH courses and Investment Representative licensing would be an asset

Position Overview

This is a great opportunity to become part of a highly qualified Wealth Management Team in one of Canada’s largest independent Wealth Management firms. At Richardson Wealth Limited, we are transforming our overall digital capabilities to enhance both our employee and client experience, reducing administrative time to free teams up to deepen client relationships and build the practice.

We have demonstrated dedication to the Comox Valley Richardson Wealth team and clients with a new, modern, and welcoming atmosphere.

We are backed by over seven generations of entrepreneurial success that influences all aspects of the business.

Our entrepreneurial history makes for a supportive, innovative culture with trust and integrity as the cornerstones of our business.

We are proudly committed to diversity, inclusion and belonging.

It’s an exciting time to grow with Richardson Wealth! See our growth strategy in our 2021 Annual Report.

We are seeking an individual to join our team in the Comox 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

Team 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
• Assist the team in preparing account documentation including client reviews, presentations, correspondence and reports
• Assist with the design and execution of communications program for the team, including marketing and social media
• Assist with creating and planning client events and programs.

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
• Ability to troubleshoot technology issues if they arise and assist team in effective, efficient use of technology to best serve clients
• Motivated to advance your career with additional courses as needed

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

Position Overview

This is a great opportunity to become part of a highly qualified Wealth Management Team in one of Canada’s largest independent Wealth Management firms. At Richardson Wealth Limited, we are transforming our overall digital capabilities to enhance both our employee and client experience, reducing administrative time to free teams up to deepen client relationships and build the practice.

We have demonstrated dedication to the Comox Valley Richardson Wealth team and clients with a new, modern, and welcoming atmosphere.

We are backed by over seven generations of entrepreneurial success that influences all aspects of the business.

Our entrepreneurial history makes for a supportive, innovative culture with trust and integrity as the cornerstones of our business.

We are proudly committed to diversity, inclusion and belonging.

It’s an exciting time to grow with Richardson Wealth! See our growth strategy in our 2021 Annual Report.

We are seeking a career motivated individual to join our team in our brand-new Comox office. As an Assistant the incumbent will contribute to growing the business by providing support to the Investment Advisors and team, ensuring high-level client service, and effective functioning of the team through administration-related tasks.

Duties & Responsibilities

Team Support:

• Responsible for the professional servicing of incoming telephone and email contacts from clients, Advisors and other internal and external partners
• Assist the team in preparing account documentation including client reviews, presentations, correspondence and reports
• Assist with the design and execution of communications program for the team, including marketing and social media
• Assist with creating and planning client events and programs.

Client Service:

• Foster and support client relationships
• Respond efficiently and effectively 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 transfers, trades, and other activity to ensure timely conclusions

Administration:

• Adhere to professional practices and standards, as well as internal processes and controls
• General office management such as coordination of vendors, reorder/restock supplies and stationery
• Maintain expense records and spreadsheets
• General administrative office duties as required

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 and meticulous attention to detail
• Ability to prioritize, multitask, work within time constraints and follow-up
• Ability to work in a team environment, quickly learn new technologies and programs and assist with team training
• Ability to troubleshoot technology issues if they arise and assist team in effective, efficient use of technology to best serve clients
• Motivated to advance your career with additional courses as needed

Education

• Post-secondary education is an asset
• Completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) would also be of added value

Position Overview

We are seeking an individual to join our team in the Edmonton 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 know your client documents, investment policy statements

Administration:

• Prepare documents for electronic or mail delivery
• Inputting data and maintaining CRM (Customer Relationship Management) software (Maximizer)
• Filing and general administrative office duties as required
• Adhere to professional practices and standards, as well as internal processes and controls

Client Service:

• Respond to requests for information from clients
• Investigate and resolve inquiries related to Online Account Access (MyRichardsonWealth)

Skills & Qualifications

• 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
• 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

Education

• High School Diploma
• Office Assistant Certificate would be an asset
• Business Management/Administration Certificate/Diploma would be an asset
• Prior work experience in financial services would be an asset
• University or College (Financial) Degree would be an asset
• Completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) is an asset

Position Overview

We are seeking an individual to join our team in the Winnipeg 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.

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:

• 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

Administration:

• 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

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

• Post-secondary education
• Successful completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook
• Licensed with the Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative

Position Overview

We are seeking an individual to join our team in the Winnipeg 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

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

Position Overview

The primary responsibility of the role is providing support to users on Richardson Wealth platforms with a primary focus on Broadridge Dataphile, Fidelity Unifide, and Croesus applications. The role will consist of Level 2/3 type of support with opportunities to also participate in projects and initiatives ensuring the successful transition of change into the production environment.

Duties & Responsibilities

• Using business application knowledge and technical skills perform initial triaging/diagnosis and coordinate root cause analysis and problem prevention efforts with subject-matter experts and vendors
• Work with a variety of different stakeholders adapting communication based off audience
• Apply subject matter knowledge to business issues and is regarded as a subject matter expert of business’ application systems
• Actively participate and take ownership of assigned tasks for projects and iniatives.
• Create and maintain system support guides and document processes for all systems supported by the Application Support team
• Actively cross-train and share knowledge with team members
• Analyze and identify trends related to application support and incident management
• Some after hours and weekend support may be required

Skills & Qualifications

• 1 to 3 years experience in application support preferred
• Experience working with Dataphile (or similar financial back office systems)
• Experience and/or knowledge of operations processing, G/L, and Performance calculations
• Knowledge of Wealth Management Industry
• Proficient in MS Office (including O365)
• Knowledge of SQL and ability to build queries preferred
• Proven analytical and problem-solving ability.
• Strong written and oral communication skills – must be able to communicate with both the business stakeholders and technical support team
• Ability to be flexible and manage time when there are competing priorities
• Displays passion and an appropriate sense of urgency in executing on responsibilities

Education

• Post Secondary degree/diploma preferably in business
• Canadian Securites Coure (CSC) an asset, but not required

Position Overview

The ideal applicant will be an active team participant in an expanding high-net-worth holistic wealth management business. The applicant will be responsible for providing administrative assistance to the team as required.

Duties & Responsibilities

• Support the Investment team in general administrative duties in the management of client accounts
• Support the Investment team prepare client reviews and presentations
• Provide administrative support in opening accounts and keeping client files up to date
• Maintain administrative liaison with the different operations departments.
• Type memos, letters and documents. Prepare and manage periodic mass mailings to existing and potential clients
• Monitor all pending and outstanding paperwork; diarize to follow up regularly
• Process all client banking related transactions
• Request transfers and follow up to completion
• Set up client accounts on dividend reinvestment program as requested
• Process all client account contributions, de-registrations, withdrawal requests, cheques, and payment changes
• Compile tax packages and send them out to clients during tax season
• Process year-end client charitable donations
• Attend all branch meetings and report to team on any pertinent developments
• Maintain appointment agenda for Investment team
• Provide marketing support to the team as required
• File and scan documents

Skills & Qualifications

• Exceptional Client Service skills
• Strong organizational skills and ability to prioritize
• Ability to work autonomously while exhibiting initiative and attention to detail
• Excellent oral and written communication
• Proficient in Microsoft office programs (Word, Excel, PowerPoint, and Outlook)

Education

• Undergraduate degree, along with 1 year business / office experience
• The completion of the Canadian Securities Course and Conduct and Practice Handbook would be an asset
• Prior work experience in financial services would be an asset

Position Overview

The Unifide Product Owner role will lead a team of analyst in managing the design, delivery, and adoption of the new Digital Operations Platform. To effectively do so, the Product Owner will build and maintain a network of trusted partners across business and IT and will engage in a transparent and consistent manner with all stakeholders and executive sponsors to define and prioritize the Richardson Wealth vision and roadmap working in partnership with the vendor to deliver.

Duties & Responsibilities

• Lead and support the Platform Management team, including creation of business goals,  metrics, and KPI’s to maximize value of the team, applying these measures at an individual level, and through coaching and development of individual team members
• Creation of Key Performance Indicator’s (KPI’s) and metrics to maximize value of the Fidelity Unifide platform to quantify the business benefit/impact, and work with stakeholders to ensure adoption and realization of desired results
• Collaborate on an ongoing basis with key internal stakeholders to identify and manage needs and problems to be solved as part of the Platform Lifecycle, ensuring what is delivered meets the original goals and objectives for the client and the business
• Own the relationship with key vendors to represent the voice of Richardson Wealth to influence the direction of platform enhancements.
• Communicate vision for the digital experience on an ongoing basis, tailoring the message or approach used based on differing communication needs, in a way that enables stakeholders to understand and see the value
• Communicate program status, metrics, and goals regularly to internal stakeholders and executives
• Lead in defining the near-to-mid term Fidelity Unifide Platform strategy and roadmap, defining scope, identifying and prioritizing requirements and constraints

Skills & Qualifications

• University degree (Bachelor’s or higher) or combination of equivalent education and experience
• Minimum 7-years experience in Financial Services, with a variety of experience working directly with Advisor Teams and Business stakeholders to ensure solid understanding of both client and operational experience
• Exceptional relationship builder, with the ability to establish trust and confidence in partners across the organization and key vendors and at all levels
• Confident and proven leader, motivator, and effective decision-maker
• Excellent collaboration skills, thrive in a cross-functional, hybrid team environment
• Strong understanding of the business, coupled with creativity to leverage technology to drive better outcomes for client experience and operational effectiveness
• Excellent communicator, with the ability to effectively convey messages in writing, verbally or presentation style to a variety of audiences / key stakeholders in a differing formats
• Solid organizational skills, capable of multitasking and the ability to deliver high quality work under pressure
• Ability to break down complex problems into manageable pieces, influence, and negotiate to deliver results
• Strong quantitative and analytical skills with the ability to identify insights to help shape online strategy
• Passion for and solid understanding of the online and mobile fintech space and competitive environment

Education

• University degree (Bachelor’s or higher) or combination of equivalent education and experience

Position Overview

We are looking for an Enterprise Data Architect with a passion for designing and building cloud and data solutions possessing outstanding architecture and development skills. As part of the technology team, you will be a crucial player, leader, and agent of change as you architect and guide the build and support of a cloud platform, solutions, and data services. You will be highly accountable, assertive, and thrive in an ambiguous environment. This is an opportunity to join us during an exciting time of digital transformation.

Duties & Responsibilities

• Provide best advice to build resilient, cloud and hybrid-cloud data solutions with exemplary architecture and design to support the planned future of the firm
• Apply a strategic mindset in directing the technology stack, minimizing technical debt, and maximizing the opportunity for digital transformation
• Provide best advice to the team leading a multi-year data architecture modernization program currently underway, ensuring the target architecture is appropriate to serve our needs as the organization evolves
• You will apply your expertise in data and advanced analytics with multiple data platforms, technologies and frameworks, in designing patterns and principles, engineering principles, developing frameworks, modern cloud Azure and/or AWS architecture and building scalable applications for the cloud
• You will be responsible for architecting solutions in a lean/agile way, including consideration of: scalability, resilience, partner interfaces, security (risks and threats, authentication, authorization), data validation, representation and storage, tuning and testing using automated testing patterns and tools, balancing the need for feature development with architecture
• Ability to mentor and influence the team to deliver well architected solutions
• Understand and contribute to the technical solution from design to the code level
• Collaboratively evolve and communicate the target architecture design and roadmap
• Document designs to foster knowledge sharing across the organization and create agreement on what we’re building
• Spearhead our technology trajectory by conducting progressive research and prototyping cutting-edge technologies
• Promote best practices for software engineering to ensure solid code and usability consistency across teams

Skills & Qualifications

• 5+ years’ experience as a Data Architect or a Solutions Architect with expertise in designing and developing complex, scalable client facing solutions using a mix of on-prem and cloud technologies, including data source analysis and profiling, as well as Relational DBMS
• Bachelor’s degree in Computer Science, Software Engineering, Business Intelligence, Data Science, or related education or commensurate experience
• Excellent analytical skills and ability to grasp complex business concepts quickly
• Experience in programming, scripting, automation, and customization initiatives
• Excellent soft skills and readily able to communicate ideas and concepts to business sponsors and non-technical colleagues. Critical thinking capabilities and a consultative mindset
• Financial Services industry experience is an asset, preferably interacting with data flowing from Broadridge Dataphile or ISM back-office applications, and/or trading applications
• Ability to thrive in a busy and evolving, wealth management IT environment
• Experience with SSRS, SSIS and SSAS preferred
• Experience with the Azure data platform preferred (e.g., ADLS, Synapse, ADF, Databricks etc.)
• A Canadian Securities Course is a definite advantage

Education

• Bachelor’s degree in Computer Science, Software Engineering, Business Intelligence, Data Science, or related education or commensurate experience

Position Overview

As a Power BI Developer, you will bring extensive experience using Microsoft Power BI and broader Power Platform to translate business needs into easily understandable reports and visualizations. Working with members of our business community as well other Data Services team members, you will be accountable for gathering requirements from the client for development, testing and implementation. You are often leading solutions with an iterative and consultative approach, as well as providing support and mentoring to other team members.

The successful candidate will also have the opportunity to influence a multi-year data architecture modernization program currently underway, helping to ensure the data architecture serves our business needs as the organization evolves.

Duties & Responsibilities

• Serve as a Subject Matter Expert (SME) within all aspects of Microsoft Power Platform and collaborate with different teams to understand the business requirements and conduct gap analysis
• Conceptualize, design and implement Microsoft Power BI solutions from the existing corporate database and burgeoning data lakehouse/warehouse, as well as other enterprise data sources
• Build automated reports & dashboards with the help of Power BI & other reporting tools
• Leverage and extend processes aligned to data visualization best practices (as defined or adopted by business sponsors) and standards, ensure quality (Alignment to form, fit and function)
• Perform detailed analysis on tested and deployed Power BI scripts
• Make essential technical and strategic changes to optimize Power BI environments
• Assist in the design of logical and physical dimensional data mart models
• Conduct unit & integration tests, assisting in test preparations to ensure data integrity, data quality, and program functional completeness & correctness
• Produce and maintain technical documentation for colleagues, as well as procedures for end users
• Participate in the development of project plans to establish appropriate workload expectations and schedules

Skills & Qualifications

• 4+ years of experience in a Power BI Developer, or similar data-related role
• 4+ years of experience with SSAS, SSRS, SSIS, in MS SQL Server 2016 or higher
• Excellent analytical skills and ability to present ideas and recommendations to various stakeholders and ability to grasp complex business
• Demonstrated expertise in Power Platform (PowerApps, MS Flow and Power BI)
• Experience with DAX, M and SQL languages
• Experience in programming, scripting, automation, and customization initiatives
• Practical knowledge of Microsoft Power BI service architecture design and administration, defining roles and security
• Strong knowledge of data warehousing, including data source analysis and profiling, as well as Relational DBMS
• Critical thinking capabilities and a consultative mindset
• Excellent soft skills and readily able to communicate ideas and concepts to business sponsors and non-technology colleagues
• Ability to thrive in a busy, high pressure, wealth management IT environment
• Financial Services industry experience, preferably interacting with data flowing from Broadridge Dataphile or ISM back-office applications, and trading applications
• Experience with other BI tools Azure data platform (e.g., ADLS, Synapse, ADF, Databricks etc.) and agile delivery methodology preferred

Education

• Bachelor’s degree in Computer Science, Software Engineering, Business Intelligence, Data Science, or related education or experience
• A Canadian Securities Course or commensurate experience is a definite advantage

Position Overview

This position is the Quality Assurance Analyst, reporting to the Manager, Quality Assurance.

The Quality Assurance Analyst will have the opportunity to work on a multi-year Data Modernization project, helping to ensure the data architecture serves our business needs. The Quality Assurance Analyst is accountable for the quality of the products and deliverables of the projects assigned.

Responsibilities include developing test strategies, test planning, maintaining, and executing manual and automated test cases on a variety of applications.  The Quality Assurance Analyst also verifies that deliverables function according to requirements as well as conform to established guidelines.

Duties & Responsibilities

• Accountable for test planning, preparing various testing documentation – test strategy, traceability matrix, test plan, defect management plan, schedule, and test results walkthroughs
• Accountable for the documentation outlining testing requirements, test environments and objectives
• Recommending and implementing process improvements
• Preparation of the Test Strategy for the Business to sign off
• Preparation of Test Plan, Test Cases/Scripts for test execution
• Preparation of Gap Analysis / Traceability Matrix document for user walkthrough
• Utilizing a test management tool – DevOps Server 2020, or similar
• Configuring and implementing and/or maintaining and validating test data as well as validating test environments
• Executing test cases within the testing environment, ensuring accuracy and record test results / defects, and obtaining approval
• Maintaining and providing accurate testing status reports during testing phases
• Participating in post implementation reviews and processes (e.g. lessons learned, post-install application verifications, warranty support reviews etc.)
• Participating in third party service partner report card feedback
• Providing subject matter expertise on specific application usage or area of knowledge
• Managing defect management / resolution process and acting as the primary defect management contact on projects
• Writing test cases from System Requirements and System Design Documents

Skills & Qualifications

• Knowledge of relational RDBMS (SQL Server/ Oracle)
• Must have experience working on Broadridge Dataphile or any other back office applications similar to Dataphile. (e.g. IBM/ISM SIS Trade Innovator, Broadridge BPS, Univeris, RPM Technologies, etc)
• Knowledge of SQL
• An in-depth knowledge of the financial operations, with a minimum of 8+ years, preferably interacting with Dataphile or ISM back-office applications, and trading applications.
• A Canadian Securities Course is a definite advantage.
• Ability to thrive in a busy, high pressure, wealth management IT environment
• Strong knowledge of testing methodologies and manual and automated tools like White box testing, Black box testing, Grey box testing, Regression testing, Boundary testing, Load testing, Beta testing, Stability testing, Security testing, etc
• Knowledge and understanding of SDLC and project management life cycle, testing and development methodologies, defect management practices, documentation repository practices and procedures, debugging techniques, PC applications and business workflows
• Collaborative, team player, innovative, and good communicator
• A technical background with strong preference of previous programming and database knowledge
• Ability to work with the development team for Test Driven Design/Development (TDD)
• Knowledge of .NET/Java

Education

• Knowledge of relational RDBMS (SQL Server/ Oracle)
• Knowledge of SQL
• Knowledge of .NET/Java

Position Overview

The Credit Officer works with a small tight knit team of other Credit professionals to monitor, review, and approve daily retail credit requests and transactions submitted by the Advisor Teams, ensuring compliance with Regulatory requirements and Firm policies, and while avoiding unreasonable risk that may result in financial losses.

Duties & Responsibilities

The Credit Officer reviews, approves, and/or administers:

• Cheque/EFT withdrawals and Wire transfers, including on margin
  (within approved limits);
• Third party payments;
• Security withdrawals;
• Capital calls;
• Delivery or Receive Against Payment (DAP / RAP) transactions;
• Stock options or warrants exercise;
• Charitable donations;
• Journal entries (i.e. moving cash and/or securities between accounts);
• Write offs;
• Interest adjustments;
• Daily delinquent cash account reporting and supervision;
• Daily short reporting and supervision.

Skills & Qualifications

• A good understanding of the Securities Industry (relevant job experience or completion of the Canadian Securities Course will be considered;
• High proficiency in Microsoft Office, including Outlook, Excel, and Word;
• Experience with Dataphile is desired.
• Strong verbal and written communication skills;
• Strong problem solving and analytical ability;
• Excellent time management and prioritization skills.

Education

• Post-secondary degree/diploma or relevant job experience;

Position Overview

We are seeking an individual to join our team in the Halifax 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

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 preferred
• Completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) is an asset

Position Overview

We are seeking an individual to join our team in the Halifax 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 preferred
• 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

Position Overview

We are seeking an individual to join our team in the Toronto 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, NAAF and KYC Updates
• Assist the Investment Advisor (s) in preparing client meeting, Tax Packages, Maximizer Data Integrity and other Administrative task assigned

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
• 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

Position Overview

We are seeking an individual to join our team in the Burlington 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

Position Overview

The Network Engineer role is to support the stable operation of the internal corporate computer network. This includes installing, configuring, maintaining, and optimizing network hardware, software, and communication links while ensuring minimal network downtime. The person will also diagnose, resolve, and document hardware and software problems in a timely and accurate fashion.

Duties & Responsibilities

• Troubleshooting, diagnosing, and resolving hardware, software, and other network and system problems. Investigating faults in the network and arranging scheduled upgrades/fixes
• Identifying, designing and implementing new network solutions and/or improving the efficiency of current networks providing documentations
• Perform capacity planning for network infrastructure.
• Participate in product selection, evaluation, and deployment of emerging technologies.
• Work to implement tools to facilitate further automation.
• Responsible for developing, enhancing, and executing security operations processes, provides real-time security analysis, incident response.
• Respond to incoming calls, alarms and e-mails regarding client data and voice issues, client change requests.
• Network performance and quality, system monitoring and analysis, and performance tuning
• Building relationships and working collaboratively to identify solutions and resolve variance from product/application specifications.

Skills & Qualifications

• Minimum 5 year of hands-on experience
• Ability to understand the environment through configuration/design and provide documentation. Strong troubleshooting experience is required
• Working experience with Enterprise Campus and Datacenter networks: 3 tier and spine and leaf architectures
• Experience with network firewalls, routers, switches, NAC, and Wi-Fi
• Hands-on experience with protocols: BGP, OSPF (multi-area), IPSEC VPN (static and dynamic)
• Experience in configuring, managing, and troubleshooting the following technologies is desirable
• Cisco ISE, Cisco Meraki, Cisco ASA, FortiGate, FortiManager, FortiAnalyser, ADVPN, SDWAN, Cisco switches (Catalyst and Nexus), VSS, FHRP, vPC, 802.1x, 802.1q,802.3ad, Radius, QoS, SNMP
• Experience in coding languages and Linux/Unix services would be an asset
• Experience using tools such as Wireshark, tcpdump, Solarwinds
• Fortinet NSE, Cisco CCNP/CCIE or other network certifications highly desirable
• Experience working in a team oriented, collaborative environment
• The ability to multi-task and be a good team player

Education

• A college diploma or university degree in the field of computer science or 5 years equivalent work experience

Position Overview

Based in the Montreal office, and supporting advisor teams in French and English, both locally, and throughout Quebec, the Maritimes, Ottawa and other select offices across Canada, the Bilingual Marketing Account Manager is the go-to person for Richardson Wealth advisors for all things marketing related. The Bilingual Marketing Account Manager excels at building strong relationships with advisor teams to provide engaging and strategic marketing consultation and planning, while coordinating marketing projects and initiatives. A natural problem solver, this role works closely with the Manager, Advisor Marketing to develop solutions and provides a high-level of marketing support as part of the Advisor Marketing team.

Duties & Responsibilities

• Ability to manage competing demands while providing proactive marketing strategies and thought leadership for advisor teams
• Boutique Marketing coordination is a key function of this role. Responsibilities include receiving campaign and ad-hoc requests, proofreading and some copywriting and editing in French and English, coordinating design as well as managing a multi-pronged sign-off process
• Collaborate with advisor teams to understand their business and develop custom marketing strategies to help them achieve their communication and prospecting goals using digital and traditional marketing methods
• Support our development team with discovery and onboarding efforts to provide an exceptional marketing experience for new recruits
• Organize and keep careful documentation for project trafficking between advisors, vendors and the marketing team
• Generate ad-hoc marketing materials such as communications and email campaigns
• Support the development of compelling prospect generation, seminars and awareness programs
• Travel to regional offices on occasion to foster relationships in person
• Training and support for advisor teams of the digital platforms marketing maintains
• Maintain accurate records of quotes, budget, project files and Compliance / Branch Manager and marketing sign-offs
• Management of marketing vendors
• Track and liaise with the accounting department regarding all Marketing department expenditures and marketing budget chargebacks

Skills & Qualifications

• Minimum 5 years or more experience in marketing and account management in the finance industry preferred
• Fluency in Quebecois French is essential, as is experience with the Quebec market
• Exceptional French and English communication skills, both verbal and written
• Excellent attention to detail and strong organizational skills
• Solutions-focused relationship manager with proven ability to juggle multiple projects in an energetic, fast-paced environment
• Ability to think strategically and be results-oriented
• Resourceful self-starter with ability to jump in and ramp-up quickly
• Ability to prioritize activities and take initiative
• Strong proficiency with Microsoft Office Suite
• Ability to work both independently and effectively in a team environment
• Bilingual in English/French an asset
• Understanding of the wealth management industry and financial terminology a strong asset

Education

• College or university required
• Marketing or communications diploma preferred

Position Overview

We are seeking an individual to join our team in the Guelph 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, develop new business, and ensure 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 equities, fixed income, mutual funds, 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

Position Overview

We are seeking an individual to join our team in the Edmonton 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, develop 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
• Extensive knowledge in Microsoft Office, with a focus on Excel
• 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
• A strong understanding of insurance and insurance-related products

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
• Financial Planning designation an asset

Position Overview

Are you a self-starter that is energized by growing business and working in a dynamic and entrepreneurial environment? As a member of the Corporate Development team, you are a key contributor to the strategic and aggressive growth of the organization.

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

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

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.

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)

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

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

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

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

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)

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

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

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

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

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

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