Branch Compliance Supervisor
Raymond James Ltd.
Toronto , ON
We are seeking a qualified Branch Compliance Supervisor to work either at our Vancouver, Toronto, or Montreal offices.
Raymond James Ltd. (RJL) is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.
The Regulatory & Legal Group (RLG) supports and advises RJL concerning all aspects of supervision, compliance, anti-money laundering and legal matters. As an independent control and advisory function reporting to the Chief Executive Officer, RLG assesses the firm’s regulatory and legal risk; conducts independent testing and monitoring to ensure compliance with laws, rules and regulations; designs and implements controls, policies, procedures and training; investigates and supervises for emerging risks and breaches; and leads the firm’s responses to the changing regulatory and legal landscape.
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.
Specifically you will:
- Conduct Tier 1 daily and monthly reviews of transactions in accordance with IIROC 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 IIROC Continuing Education requirements;
- Provide back-up coverage for other Branch Compliance Supervisors; and
- Contribute to internal department initiatives and other projects, as requested.
To qualify for this opportunity you possess:
- The proficiency requirements necessary for registration as an IIROC Supervisor with options;
- US Series 7, 4, 24 and 66 licenses are highly desirable;
- 5 years of experience at a broker dealer in a Compliance function, including 2 years of experience in a supervisory capacity;
- Experience with complex products including non-brokered private placements, leveraged ETFs, principle protected notes, hedge funds, segregated funds and illiquid securities;
- Knowledge of Dataphile, DST Regulatory Surveillance Manager, Thompson ONE and Market Q are highly desirable;
- Excellent written and verbal communication skills;
- Fluency in French is highly desirable;
- Strong analytical thinking and critical reasoning skills with a strong attention to detail;
- Self-motivated with the ability to work independently; and
- Ability to effectively handle and successfully meet established deadline requirements.
This is a permanent full-time position with a competitive compensation and benefits package.
Quote Job Reference: 19-034
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