Vice President, Regulatory Supervision, National Sales
Apply NowCompany: Richardson Wealth Limited
Location: Toronto, ON M4E 3Y1
Description:
About Us:
As a leading Canadian wealth management organization, Richardson Wealth offers the personal touch of a boutique firm while delivering big results. With offices across the country, we are home to some of Canada's best investment advisors. We've embarked on an exciting growth phase - a multi-year transformational journey to enhance our entrepreneurial, high-performing, advisor-centric culture.
Position Overview
Primary accountability for this role is to provide senior leadership and oversight for branch compliance at a national level. Working in conjunction with both National and Regional objectives, this leadership role along with a team of Wealth Compliance Advisors (WCA), leads branches, advisors and their teams in managing practice-risk, ensuring regulatory adherence through effective processes, and managing escalations as it pertains to advisor risk and compliance, change management and general branch culture.
Duties and Responsibilities
Leading a team of WCAs in managing a national level of consistent regulatory compliance across the network including performance management, coaching, training and mentorship
Provides leadership and guidance to support regulatory change for all branches working closely with Branch Managers including delegations and escalations raised through the network
This position works closely with Compliance and particularly the VP Regulatory Change in the creation and implementation of policies and processes around regulatory change
Will deliver a consistent and practical level of regulatory supervision at a national level
Actively lead and participate as a change agent for corporate initiatives, as well as changes to the regulatory landscape representing interest of branches
Provide leadership guidance to WCAs and branch management in the readiness in preparation for and remediation for internal and regulatory audits
Lead and evolve a National operating model that provides oversight and accountable for effective execution of branch compliance including but not limited to review & approval of new account documentation, account administration, Marketing approvals, trading approvals as applicable, Registrant oversight, and Sub- branch / remote location supervision (if applicable)
Nurture a culture of compliance and enforce the implementation of company policies, programs and processes to ensure better team and client experience through effective change management
Support governance framework for conflicts of interest as it relates to employees, referrals, compensation etc. across the enterprise including escalations
Provides guidance and support to Advisors regarding compliance policies and procedures, including effectively communicating requirements and ensuring the efficacy of the program
Responsible for maintaining an ongoing, in-depth understanding of compliance requirements for the industry
Contribute to the curriculum and delivery of regulatory related changes and related educational issues and knowledge across the advisor team network
Effectively communicate with Senior Management as it relates to regulatory concerns under their purview
Supports a collaborative and positive branch culture where team opinion/feedback are valued and considered
Qualifications
Minimum 15 years' experience in a full-service brokerage environment including supervision
Demonstrated experience coaching and helping Advisors with compliance matters
Strong organizational skills
Excellent communication skills
Positive attitude and ability to work with various personality types
Leadership and initiative
Analytical skills
Solution-oriented
Ability to work in a fast-paced environment and meet deadlines
Knowledge of Dataphile, Thomson One, Maximizer CRM are an asset
Education
University or College degree
Licensed as a Registered Representative (RR) with CIRO
Licensed as Options Supervisor with CIRO
Why Apply:
Our firm is only as good as the people who work here. Our employees are exceptional because they combine in-depth expertise with enthusiasm, and empathy. From our front office talent to our colleagues behind the scenes, we have one focus: to ensure our people thrive here more than anywhere else. Are you innovative, self-driven, and client-centric?
If so, we're ready to invest in you.
Richardson Wealth is an equal opportunity employer and committed to providing a diverse, equitable and inclusive environment. We are happy to meet your individual needs in keeping with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act. Candidates may request accommodation at any point during the interview process.
We are a proud partner of Pride at Work Canada.
Other details
Apply Now
As a leading Canadian wealth management organization, Richardson Wealth offers the personal touch of a boutique firm while delivering big results. With offices across the country, we are home to some of Canada's best investment advisors. We've embarked on an exciting growth phase - a multi-year transformational journey to enhance our entrepreneurial, high-performing, advisor-centric culture.
Position Overview
Primary accountability for this role is to provide senior leadership and oversight for branch compliance at a national level. Working in conjunction with both National and Regional objectives, this leadership role along with a team of Wealth Compliance Advisors (WCA), leads branches, advisors and their teams in managing practice-risk, ensuring regulatory adherence through effective processes, and managing escalations as it pertains to advisor risk and compliance, change management and general branch culture.
Duties and Responsibilities
Leading a team of WCAs in managing a national level of consistent regulatory compliance across the network including performance management, coaching, training and mentorship
Provides leadership and guidance to support regulatory change for all branches working closely with Branch Managers including delegations and escalations raised through the network
This position works closely with Compliance and particularly the VP Regulatory Change in the creation and implementation of policies and processes around regulatory change
Will deliver a consistent and practical level of regulatory supervision at a national level
Actively lead and participate as a change agent for corporate initiatives, as well as changes to the regulatory landscape representing interest of branches
Provide leadership guidance to WCAs and branch management in the readiness in preparation for and remediation for internal and regulatory audits
Lead and evolve a National operating model that provides oversight and accountable for effective execution of branch compliance including but not limited to review & approval of new account documentation, account administration, Marketing approvals, trading approvals as applicable, Registrant oversight, and Sub- branch / remote location supervision (if applicable)
Nurture a culture of compliance and enforce the implementation of company policies, programs and processes to ensure better team and client experience through effective change management
Support governance framework for conflicts of interest as it relates to employees, referrals, compensation etc. across the enterprise including escalations
Provides guidance and support to Advisors regarding compliance policies and procedures, including effectively communicating requirements and ensuring the efficacy of the program
Responsible for maintaining an ongoing, in-depth understanding of compliance requirements for the industry
Contribute to the curriculum and delivery of regulatory related changes and related educational issues and knowledge across the advisor team network
Effectively communicate with Senior Management as it relates to regulatory concerns under their purview
Supports a collaborative and positive branch culture where team opinion/feedback are valued and considered
Qualifications
Minimum 15 years' experience in a full-service brokerage environment including supervision
Demonstrated experience coaching and helping Advisors with compliance matters
Strong organizational skills
Excellent communication skills
Positive attitude and ability to work with various personality types
Leadership and initiative
Analytical skills
Solution-oriented
Ability to work in a fast-paced environment and meet deadlines
Knowledge of Dataphile, Thomson One, Maximizer CRM are an asset
Education
University or College degree
Licensed as a Registered Representative (RR) with CIRO
Licensed as Options Supervisor with CIRO
Why Apply:
Our firm is only as good as the people who work here. Our employees are exceptional because they combine in-depth expertise with enthusiasm, and empathy. From our front office talent to our colleagues behind the scenes, we have one focus: to ensure our people thrive here more than anywhere else. Are you innovative, self-driven, and client-centric?
If so, we're ready to invest in you.
Richardson Wealth is an equal opportunity employer and committed to providing a diverse, equitable and inclusive environment. We are happy to meet your individual needs in keeping with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act. Candidates may request accommodation at any point during the interview process.
We are a proud partner of Pride at Work Canada.
Other details
- Pay Type Salary
Apply Now