• 2500550
  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.

KNOWLEDGE OF:

• Fundamental investment concepts, practices, and procedures used in the securities industry;
• Regulatory AML/ATF compliance, risk management disciplines and best practices; and
• Dataphile, FactSet, and Market Q are highly desirable.

SKILLS IN

• Client service and relationship management;
• Analytical thinking and critical reasoning;
• Attention to detail;
• Microsoft Office with focus on Excel, Macros and VBAs, highly desired;
• Microsoft PowerBI, PowerQuery, Power Apps and Power Automate, highly desired; and
• SQL and ability to work with databases, highly desired.

EDUCATIONAL/PREVIOUS EXPERIENCE REQUIREMENTS & LICENSES/CERTIFICATIONS

• 5 years of experience at a broker dealer in a Compliance function, including Two years of relevant experience working for a Dealer Member or such equivalent experience as may be acceptable to the applicable District Council
• The proficiency requirements necessary for registration as an CIRO Supervisor with options, specifically:
• Canadian Securities Course (CSC®)
• Conduct and Practices Handbook Course (CPH®)
• Investment Dealer Supervisors Course (IDSC)
• Options Supervisors Course (OPSC)
• Note: (if supervising option activity DFC and OLC or DFOL also required)
• 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 WILL YOUR ROLE BE RESPONSIBLE FOR?

• Conduct Tier 1 daily and monthly reviews of transactions in accordance with Canadian Investment Regulatory Organization (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; 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.