Senior Compliance Officer, Complaints & Investigations

Richardson GMP - Toronto, ON (7 months ago)

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Position Overview
This individual will be a key member of the Complaints & Investigations team at Richardson GMP, responsible for primary carriage of the complaint and investigation files that are assigned to them. Duties will include investigating and providing analysis relating to client complaints in accordance with IIROC Dealer Member Rules, conducting internal analysis and responding to OBSI and regulatory investigations, providing litigation support, investigating privacy breaches, and managing responses to requests for information in accordance with applicable privacy legislation and regulatory requirements.
Duties & Responsibilities
Conduct investigations of client complaints in accordance with IIROC Dealer Member Rules, including detailed analysis of client files, profit and loss calculations, suitability analysis and review of relevant correspondence
Conduct internal investigations and reviews, as required, including in respect of registrant conduct and client trading
Prepare responses to information access requests, document production orders from courts and requests for information from regulators
Manage the internal review and response process for OBSI or regulatory investigations
Work with branch management teams, advisors, legal counsel and other internal stakeholders, as part of investigation and resolution processes
Provide support to legal counsel in respect of litigation and internal review processes
Conduct investigations into privacy breaches, and work with internal stakeholders to ensure an appropriate resolution to each incident
Manage reporting of all incidents in accordance with internal requirements, including metrics that matter
Liaise with, and manage insurance coverage process for assigned files
Other tasks, as assigned
Skills & Qualifications
Minimum of 5 years’ industry experience at an IIROC dealer member, with a minimum of 3 years’ experience as a complaints investigator at an IIROC dealer member firm, securities regulator or self-regulatory organization
Strong understanding of registrant and dealer member obligations under Canadian securities laws and IIROC Dealer Member Rules, as well as familiarity with OBSI terms of reference and investigation process
Strong understanding of retail wealth management industry, including products and services
Advanced MS Excel proficiency
Excellent organization, written and oral communication, teamwork and problem-solving skills, and excellent attention to detail
Ability to manage multiple deadlines and heavy caseload with minimal supervision
University degree in business administration, accounting, finance or related field, required
Canadian Securities Course and Conduct Practices & Handbook Course, required
Chief Compliance Officers Qualifying Exam or Branch Manager Course, an asset