Role overview

Position Overview 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.
This is an existing vacancy.
Duties and 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.• Resolving and processing exceptions, and works 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.
Qualifications
• 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• Experience using Dataphile an asset but not required.
Education & Experience
• Minimum 1 year experience in financial services, preferably within brokerage or wealth management • Canadian Securities Course (CSC) completed preferred• Post secondary education in business or a related discipline, or an appropriate combination of education and experience required.
The expected annualized base salary range for this role is $50,000-$65,000.The actual salary offered will take into consideration a wide array of factors including, but not limited to, the individual’s skill, experience, education and training, and the consideration of internal equity.Richardson offers a competitive total rewards package in addition to the base pay, which includes a performance-based incentive plan, comprehensive health & dental benefits, a group RRSP matching plan and paid time off.
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