Spécialiste, comptes clients et services de conformité

Overview

The Specialist Client Account and Compliance Services responsibility is to assist the Client Relationship Manager (CRM) with compliance related matters, administrative tasks, and liaise with other members of the RFO team in providing daily portfolio maintenance, administration, and superior client service.

Reporting structure

Compliance Manager - CRM

Responsibilities and Duties :

Compliance :

• Review annually compliance documents as per regulatory requirements and maintain client records.
• Assist with client meeting preparation to ensure client documentation is up to
• Assist in new client onboarding by preparing the compliance
• Ensure that money manager compliance requests are addressed in a timely
• Maintain an in-depth understanding and knowledge of all applicable regulatory
• Support the Compliance Manager in any amendments to compliance processes and

Client Servicing :

• Assist the CRM throughout the client onboarding
• Obtain and record all client data from various sources for account set-
• Build and maintain strong client
• Ensure that client requests are fulfilled in an accurate and timely
• Investigate and resolve any client issues in a timely

Administration and Process Improvement :

• Complete and coordinate all transactional requests with various Money Managers and our custodian.
• Work with various Money Managers and Broker-Dealers, prepare and manage all paperwork relating to investments.
• Work with a custodian on managing client assets under the discretionary
• Identify, investigate, and resolve all money managers inquiries in a timely
• Communicate all changes and updates to team members requiring the
• Contribute towards process improvement initiatives and participate in the development of best practices.

Job requirements (knowledge / experience) :

• College diploma (DEC); university degree
• Canadian Securities Course or IFIC
• 3-5 years of work experience in the financial, brokerage and custodian industry particularly in the investment sector.
• Advanced computer skills, including proficiency with MS Office (Word, PowerPoint Excel and Outlook) and the ability to learn new programs.
• Excellent written and verbal communication skills in French - ability to draft effective communications (emails, letters, memos, instructions) with exceptional grammar, spelling, and proofreading skills English is considered an asset.
• Strong organizational skills, prioritizing methods and multi-tasking
• Ability to work in a dynamic, demanding, high-pressure
• Problem solving
• Strong interpersonal skills
• Detail oriented and a high level of accuracy
• Ability to work in a team
• Strong commitment to professional client service excellence

What Richter offers you?

• Competitive group benefits which include group insurance, Health Spending Account, savings plans, and Employer Contribution Matching
• Employee and Family access to virtual healthcare network
• Employee and Family Assistance Programs, including consultations with mental health professionals
• Annual Health & Well-being Program
• Hybrid work Environment
• Competitive Performance Bonus
• Tuition Reimbursement
• Professional Dues Reimbursement
• CFE leave financial support
• Academic Incentives
• Talent referral bonus
• Client referral bonus
• Access to an on-demand concierge nannying, babysitting, and tutoring service
• Annual employee rewards and recognition
1 day ago