Branch Manager, RJLU

at  Raymond James Financial Inc

BRANCH MANAGER, RJLU

• 2401198
  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.

TO QUALIFY FOR THIS OPPORTUNITY YOU POSSESS:

• Undergraduate Degree;
• Minimum 5 years’ experience within the securities industry;
• US Series 7, 24 and 63 licenses are required;
• US Series 4 is highly desired;
• Experience in complex products, including non-brokered private placements, leveraged exchange traded funds, hedge funds, segregated funds and other illiquid securities to determine investor suitability;
• Excellent proficiency with MS Office primarily Word, Excel and Outlook;
• Excellent verbal and written communication skills;
• The ability to take initiative, determine priorities and work with minimal supervision as well as ensure deadlines are met;
• An analytical mindset with the ability to accurately assess complex situations;
• Strong investigation skills and the ability to find solutions;
• Keen attention to detail;
• Strong organizational, multi-tasking and prioritizing skills;
• Well-developed, proven customer service and interpersonal skills;
• Excellent understanding of group dynamics;
• Proven leadership and coaching skills;
• Demonstrated ability to remain objective, tactful and diplomatic during conflicts;
• Strong customer service orientation; and
• The ability to work effectively both in a team environment as well as independently.

HOW DOES THE ROLE IMPACT THE ORGANIZATION?

Reporting to the Chief Compliance Officer of RJLU, you will be primarily responsible for the monitoring of retail account activity; resolving, controlling, reporting and escalating issues that require contact with Financial Advisors and branch administrative staff to implement corrective actions; ensuring compliance with the firm’s policies and procedures and industry regulations. You and your team will respond to requests from Financial Advisors and branches on various compliance issues.

WHAT WILL YOUR ROLE BE RESPONSIBLE FOR?

• Conduct daily, weekly and monthly reviews of transactions and all other retail activity generated by IFS/IAS Branches with the purpose of detecting violations of FINRA and SEC Rules;
• Escalate extraordinary issues requiring enhanced scrutiny discovered during reviews to the Chief Compliance Officer;
• Review, approve or reject, and discuss the issues that resulted in the rejection with agent or the associate responsible for trade and error corrections, new account applications and material updates to existing accounts, advertising materials including, co-branding and other sales communications;
• Maintain a working knowledge of the industry and Anti-Money Laundering rules and regulations as well as RJLU policy and procedures by reading regulatory bulletins and notices as well as internal bulletins and policy and attending or completing industry and internal courses or conferences that would also fulfill your Continuing Education requirements on a timely basis; and
• Provide back-up for IAS and IFS Branch Managers or Financial Advisors that are absent from work because of emergencies, illness and vacation.