This individual will be a key member of the Regulatory Services Team at Richardson Wealth, responsible for supporting the Risk & Compliance department with investigation into client complaints, internal investigation and internal reviews. This individual will be responsible to investigate privacy breaches in accordance with the firm’s privacy breach response protocols. Duties will include providing analysis relating to client complaints in accordance with IIROC Dealer Member Rules, conducting internal analysis and supporting the Compliance Officer with requests for information for external sources in accordance with applicable privacy legislation and regulatory requirements.
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