Branch Compliance Supervisor

at  Raymond James Financial Inc

BRANCH COMPLIANCE SUPERVISOR

• 2401945
  At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.
  Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

EDUCATIONAL/PREVIOUS EXPERIENCE REQUIREMENTS

• 5 years of experience at a broker dealer in a Compliance function, including 2 years of experience in a supervisory capacity;
• The proficiency requirements necessary for registration as an IIROC Supervisor with options; and
• Experience with complex products including non-brokered private placements, leveraged ETFs, principle protected notes, hedge funds, segregated funds and illiquid securities.

HOW DOES THE ROLE IMPACT THE ORGANIZATION?

The Branch Compliance Supervisor will be responsible for monitoring retail account activity for compliance with governing regulations as well as internal policies and procedures. The Branch Compliance Supervisor will also provide regulatory guidance and support to Financial Advisors and requires strong relationship management skills.

WHAT IS THE POSITION RESPONSIBLE FOR?

• Conduct Tier 1 daily and monthly reviews of transactions in accordance with CIRO minimum standards and RJL policies and procedures;
• Identify and resolve or escalate any areas of non-compliance;
• Review and approve client account applications and updates to account applications;
• Review and approve advertisements, sales literature and correspondence;
• Maintain working knowledge of industry regulations and RJL policies and procedures;
• Fulfill CIRO Continuing Education requirements;
• Provide back-up coverage for other Branch Compliance Supervisors; and
• Contribute to internal department initiatives and other projects, as requested.