Job Description
Join Richardson Wealth as a Retail Compliance Advisor and play a key role in regulatory compliance efforts. Deliver expert analysis and support to ensure adherence to industry standards.
In this position, you will oversee retail compliance with a focus on monitoring client account activities. Your responsibilities will include identifying risks, conducting thorough analyses of trading trends, and advising branches on compliance matters. You will be a crucial resource for maintaining the firm's high standards and supporting Investment Advisors.
Key Responsibilities:
• Document daily head office reviews of account activities
• Analyze trading patterns for potential conflicts of interest
• Engage with Advisors to address compliance inquiries
• Recommend actions for regulatory non-compliance risks
• Participate in policy development and implementation
Requirements:
• Previous experience with CIRO Dealer Member
...
In this position, you will oversee retail compliance with a focus on monitoring client account activities. Your responsibilities will include identifying risks, conducting thorough analyses of trading trends, and advising branches on compliance matters. You will be a crucial resource for maintaining the firm's high standards and supporting Investment Advisors.
Key Responsibilities:
• Document daily head office reviews of account activities
• Analyze trading patterns for potential conflicts of interest
• Engage with Advisors to address compliance inquiries
• Recommend actions for regulatory non-compliance risks
• Participate in policy development and implementation
Requirements:
• Previous experience with CIRO Dealer Member
...