Wealth Compliance Advisor
Richardson WealthToronto, Ontario, Canada
Posted February 2, 2026
84000 - 115500 USD
Full Time
About the Company
Richardson Wealth is a leading Canadian wealth management organization with a boutique firm culture and big results.
Job Description
Wealth Compliance Advisor is a resource for the Branch Management Team and Advisor teams regarding industry regulations, requirements and best practices. The role is accountable for ensuring that the region meets all its compliance requirements and providing advice and guidance on Compliance-related policies, processes and other key execution activities.
Requirements
- Excellent communication skills - written and oral
- In-depth relationship management skills, including problem solving, mediation and leadership
- Strong attention to detail and analytical skills, meticulous with the ability to prioritize and solve problems
- 5-10 years of experience in Compliance or related experience at a CIRO regulated investment dealer
- Proficiency with Dataphile, CRM System (Sales Force), and PortfolioAid is an asset
- Proficient with Microsoft Office Suite
- Exercise good judgment of regulations and supervisory issues
- Ability to be proactive and communicate change in a fast-paced industry
- Travel may be required
Benefits
- Comprehensive health & dental benefits
- Group RRSP matching plan
- Paid time off
- Performance-based incentive plan
