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© All Rights Reserved. ApplyBlast.com
Richardson Wealth Ltd
A Compliance Advisor at Richardson monitors daily and monthly trade and account surveillance to ensure adherence to CIRO policies and regulatory guidelines. The role involves analyzing trading trends, responding to inquiries from investment advisors and branches, and managing follow-ups on compliance reviews. Additionally, the advisor assists with Anti-Money Laundering (AML) activities and helps develop departmental procedures.
Richardson Wealth is a leading independent wealth manager in Canada that combines the personal touch of a boutique firm with the capabilities and reach of a larger organization. Through a national network of advisors it delivers tailored investment management, financial and estate planning, and other wealth services for individuals, families and institutions. Clients rely on Richardson for independent advice, personalized service, proprietary research and digital tools designed to preserve and grow wealth across generations.
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
View leadership team, funding history,
and employee contacts for Richardson Wealth Ltd.
4% below the average for this role
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