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About the Role

Responsible for processing operational transactions and service requests accurately, efficiently, and in compliance with regulatory and service standards. Supports back-office operations by validating requests, resolving exceptions, and partnering with Advisors, internal teams, and vendors to ensure timely processing. A key focus is also supporting the Bond Desk trade process, including trade reconciliation, validation, FCC file preparation, exception resolution, and accurate trade posting into Richardson Wealth systems.

Responsibilities

Process operational transactions, service requests, account updates, and related activities accurately and within established service level agreements, priorities, and deadlines.
Review incoming requests from Advisor teams to ensure documentation, approvals, and instructions are complete, accurate, and in good order prior to processing or submission to the clearing broker or vendor.
Validate, input, and update information across operational systems, ensuring data integrity and adherence to internal controls, procedures, and compliance requirements.
Identify and resolve processing exceptions, discrepancies, or incomplete items by following up with Advisor teams, internal departments, and external partners as required.
Monitor assigned work queues, shared mailboxes, and operational dashboards to ensure timely completion of daily processing activities and escalation of aged or priority items.
Maintain accurate records of processing activities, decisions, follow-ups, and outstanding items in accordance with departmental standards.
Provide responsive and professional support to Advisor teams by answering operational processing questions, clarifying requirements, and guiding requests to resolution.
Adhere to documented procedures and contribute to continuous improvement by identifying processing gaps, recurring issues, and opportunities to improve accuracy, efficiency, and the Advisor experience.
Retrieve trade blotters, validate account and advisor authority details.
Resolve and process exceptions, and work closely with Advisor teams, internal partners, and vendors to ensure timely completion of operational activities and strong service experience.
Support ad hoc operational initiatives, clean-up activities, testing, and project-related processing as required.

Requirements

Team player, displays passion and an appropriate sense of urgency in completing tasks.
Very thorough and detailed oriented.
Ability to work independently with minimal guidance.
Solid written and oral communication skills.
Uses sound judgment and exercises strong decision-making skills.
Comfortable with technology including MS Office suite, web-based platforms.

Skills

Dataphile

Location

Hybrid

Work Type

Hybrid
Full-time

Experience Level

Minimum 1 year experience in financial services, preferably within brokerage or wealth management

Education Level

Post secondary education in business or a related discipline, or an appropriate combination of education and experience required.
Canadian Securities Course (CSC) completed preferred

Salary/Compensations

$50,000-$65,000

Benefits

Performance-based incentive plan
Comprehensive health & dental benefits
Group RRSP matching plan
Paid time off

About the Company

Richardson offers a competitive total rewards package in addition to the base pay.