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About the Role

This role is responsible for leading and modernizing Richardson Wealth’s core operational ecosystem, with primary oversight of end-to-end operations activities. The role ensures operational excellence, regulatory compliance, and service consistency across advisor and client touchpoints, while steering the organization toward a digitally enabled, data-driven, and scalable operating model. This role is critical in the ongoing transformation of Richardson Wealth’s platform simplifying processes, reducing operational friction, elevating the advisor experience, and aligning all operational capabilities to the future-state integrated RW + iA Private Wealth environment.

Responsibilities

Lead day-to-day oversight of core wealth dealer operations including account opening, transfers, settlements, reconciliations, corporate actions, tax reporting, and estate processing.
Drive operational accuracy, efficiency, and risk mitigation through modernization, automation, and process redesign.
Oversee relationships with key custodians and vendors, ensuring adherence to service level agreements and enhancing service delivery.
Ensure readiness and stability through system changes, platform enhancements, and new product launches.
Oversee application environments, testing cycles, UAT and production validation.
Oversee end-to-end account opening activities, including account opening, account updates and coordination with internal and external partners.
Provide operational support for the digital onboarding process, guiding users through digital tools and workflows, resolving exceptions.
Contribute to the continuous improvement of the digital onboarding experience by identifying process gaps, recurring issues, and inefficiencies.
Oversee the initiation and process of account transfers ensuring documentation completeness, accuracy, and compliance.
Oversee end-to-end follow-up on transfer requests, including monitoring status, resolving issues, and communicating progress.
Serve as an escalation point for transfer-related issues, handling complex or time-sensitive cases.
Own end-to-end fee administration processes including advisory fee generation, fee-based billing integrity, fee recalculations, manual adjustments, and exception handling.
Ensure timely and accurate monthly, quarterly, and annual billing across platforms.
Establish governance and quality controls over advisory fee structures, discounting, and compensation-related workflows.
Partner with Finance, Compensation, and Advisor Practices to maintain transparency and accuracy in how fees are assessed and paid.
Oversee payments operations processes including registered and non-registered accounts, recurrent and ad-hoc requests and third-party payments.
Implement strong payments operations controls, ensuring alignment with regulatory requirements and internal risk frameworks.
Lead operational support for payments questions, documentation and exception handling.
Oversee processes supporting estates, survivorship changes, executor guidance, and multi-step account transitions.
Ensure operational accuracy, regulatory compliance, documentation quality, and empathetic advisor/client handling during estate settlements.
Develop and standardize workflows for complex structures (trusts, corporations, joint mandates, powers of attorney, etc.).
Oversee year-end operational activities, ensuring all critical processing, time-sensitive requests, and outstanding items are prioritized and completed.
Accountable for the accuracy, completeness, and timely delivery of year-end tax reporting, including oversight of tax slip production and reconciliation of underlying data.
Act as a senior point of coordination and escalation for year-end activities, partnering with internal teams and stakeholders to resolve complex issues.
Drive the transformation of RW’s operational ecosystem into a streamlined, digitally enabled model that supports growth and efficiency.
Champion automation, workflow digitization, AI-enabled processing, and reduction of manual touchpoints.
Lead cross-functional initiatives to simplify advisor and client processes, harmonize workflows, and reduce end-to-end operational cycle times.
Ensure operational compliance with CIRO rules, securities legislation, tax requirements, privacy standards, and internal policies.
Oversee operational controls, incident management, business continuity practices, SLAs, and audit readiness.
Partner with Risk, Compliance, Legal, and Internal Audit to strengthen oversight and enhance operational resilience.
Direct operational reporting including daily dashboards, monthly regulatory submissions, fee and credit reporting, and business KPI packages.
Strengthen data quality, operational metrics, and evidence-based decision-making.
Develop standardized documentation, playbooks, and operating procedures.
Lead, mentor, and develop a diverse team across operations, fee administration, and payments.
Build a culture of accountability, continuous improvement, and operational excellence.
Ensure team structure and resource allocation align with current and future needs.

Requirements

10+ years of experience in Wealth Management operations, with deep knowledge of advisor-facing processes, dealer operations, fee models, and credit.
Proven track record leading operational teams in a regulated environment (CIRO/IIROC).
Experience driving modernization, operational transformation, or scaling operations through technology.
Strong understanding of wealth operations workflows including account opening, transfers, settlements, billing, and credit.
Proven track record of implementing operational excellence through processes and systems optimization in Wealth Management.
Strong track record of inspiring and leading cross-functional teams to successful execution, advocating and leading staff through change.
Ability to engage, influence and build strong relationships with external partners with commercial relationships.
Ability to solve problems effectively by balancing various lenses – business, operations, design and technology.
Self-motivated and results-oriented individual with strong leadership, decision making, analytical and problem-solving skills.
Creative strategic thinker who is comfortable with change, ambiguity and challenges the status quo.
Possess business acumen to analyze and generate insights from OKRs as well as foundational quantitative analytical skills to size business benefits.
Ability to manage multiple priorities and tight deadlines while providing coaching and mentoring to teams.
Expertise in operational controls, audit readiness, and risk mitigation.
Excellent communication and stakeholder management skills.
Highly analytical with the ability to leverage data for decision-making.

Skills

Strategic mindset with a focus on continuous improvement and experience modernization.
Operational controls
Audit readiness
Risk mitigation
Data analysis
Leadership
Decision making
Problem-solving
Communication
Stakeholder management

Location

Toronto

Work Type

Hybrid
Occasional travel for business meetings

Experience Level

Senior Leader
10+ years

Education Level

Bachelor’s degree in business, Finance, Operations, or related field
Industry certifications (e.g., CSC, CPH, CIM) an asset

Salary/Compensations

$150,000 - $180,000 annually

Benefits

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

About the Company

As a leading Canadian wealth management organization, Richardson Wealth offers the personal touch of a boutique firm while delivering big results.
With offices across the country, we are home to some of Canada’s best investment advisors.
We’ve embarked on an exciting growth phase – a multi-year transformational journey to enhance our entrepreneurial, high-performing, advisor-centric culture.

Equal Opportunity

Richardson Wealth is an equal opportunity employer and committed to providing a diverse, equitable and inclusive environment.
We are happy to meet your individual needs in keeping with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act.
Candidates may request accommodation at any point during the interview process.