Specialist – Client Account and Compliance Services

Specialist – Client Account and Compliance Services

Job Category: Operations Support

Posted: October 11, 2024

Employment Type: Full-Time

Work Arrangement: Hybrid

Locations

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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 date.
• Assist in new client onboarding by preparing the compliance documentation.
• Ensure that money manager compliance requests are addressed in a timely manner.
• Maintain an in-depth understanding and knowledge of all applicable regulatory requirements.
• Support the Compliance Manager in any amendments to compliance processes.
• Assist the CRM throughout the client onboarding process.
• Obtain and record all client data from various sources for account setup.
• Build and maintain strong client relationships.
• Ensure that client requests are fulfilled in an accurate and timely manner.
• Investigate and resolve any client issues in a timely manner.

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 account.
• Identify, investigate, and resolve all money managers' inquiries in a timely manner.
• Communicate all changes and updates to team members requiring the information.
• Contribute towards process improvement initiatives and participate in the development of best practices.

Job Requirements (Knowledge/Experience):

• 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, prioritization methods, and multi-tasking abilities.
• Ability to work in a dynamic, demanding, high-pressure environment.
• Problem-solving skills.
• Strong interpersonal skills.
• Detail-oriented with 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 including group insurance, Health Spending Account, savings plans, and Employer Contribution Matching.
• Employee and Family access to a virtual healthcare network.
• Employee and Family Assistance Programs, including consultations with mental health professionals.
• 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.

Your Application:

We are excited to meet motivated professionals who are looking for career growth in a mid-sized family-minded firm and have a strong background in building and fostering relationships.