Processes incoming and outgoing account transfers, ensuring documentation quality, regulatory compliance, SLA adherence, timely follow-up, and resolution of rejected or outstanding transfers. Communicates with branches, clearing firms, financial institutions, advisors, and internal operations teams. Reviews transfer reports, administers department mail and email, answers phone inquiries, and supports continuous service improvements and overtime needs.
Who We Are:
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.
Position Overview
The incumbent will be primarily responsible for account transfers.
This is an existing vacancy.
Duties & Responsibilties:
- Receive and process incoming and outgoing transfer documents:
- Maintain SLAs of the Account Transfer Department, to include adherence with regulatory body rules (i.e. CIRO rules)
- Clear written and oral communication with branches, Fidelity Clearing, Operational groups and other financial institutions
- QC, initiate, follow-up and complete transfers, Non Aton transfer ins
- Clear, detailed communication on any rejected transfers back to advisors
- Reviewing daily and weekly transfer in and out reports provided by Management
- Ensuring any outstanding transfers are shared with management to make sure they are resolved in a satisfactory timeframe
- Communication with various Operational groups (Recurring Events, Fees Billing, etc.) to ensure transfer outs are actioned properly and efficiently
- Open and distribute Department mail
- Answering the department toll free phone line
- Administer Department email box
Qualifications:
- Basic knowledge of Dataphile, ATON, CDS (Optional)
- 1-2 years Account Transfer experience
- Clear written and oral communication
- Courteous and dynamic customer approach
- Works well within a team environment
- Be rigorous and organized
- Able to multi-task and change focus during the day, depending on volumes
- Provide ideas and suggestions on how to improve the service offering to the team
- Fundcom knowledge an asset
- Bilingualism (French and English) is an asset
- Overtime may be required. Flexibility to assist with overtime as needed
The expected annualized base salary range for this role is $48,000-$60,500.
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.
#LI-Hybrid
Why Apply:
Our firm is only as good as the people who work here. Our employees are exceptional because they combine in-depth expertise with enthusiasm, and empathy. From our front office talent to our colleagues behind the scenes, we have one focus: to ensure our people thrive here more than anywhere else. Are you innovative, self-driven, and client-centric?
If so, we’re ready to invest in you.
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.
Richardson Wealth Toronto, Ontario, CAN Office
Toronto, Canada
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