Branch Compliance Supervisor

2 weeks ago

Ottawa, Ontario, Canada Raymond James Financial, Inc. Full time

Branch Compliance Supervisor

  • 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.


_ Branch Compliance Supervisor_

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 noncompliance;
  • 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 backup coverage for other Branch Compliance Supervisors; and
  • Contribute to internal department initiatives and other projects, as requested.

What can you expect from us?
Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package.

Our benefits range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more We also support internal promotion and community involvement.


What do we expect from you?

  • Ability to Travel between the two branches, which are located in Montreal and Ottawa
  • Fundamental investment concepts, practices, and procedures used in the securities industry;
  • Regulatory AML/ATF compliance, risk management disciplines and best practices; and
  • Dataphile, DST Regulatory Surveillance Manager, Thompson ONE and Market Q are highly desirable;
  • Client service and relationship management;
  • Analytical thinking and critical reasoning;
  • Work within deadlines in a highvolume and demanding environment while maintaining a high level of service and an imperative attention to detail;
  • Work independently as well as collaboratively within a team environment;
  • Demonstrate a professional manner to establish and maintain effective working relationships at all levels of the organization;
  • Exercise tact and discretion in the handling of confidential information; and
  • Communicate proficiently in French is a must

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 nonbrokered private placements, leveraged ETFs, principle protected notes, hedge funds, segregated funds and illiquid securities.

We encourage our associates at all levels to:

  • Grow professionally and inspire others to do the same
  • Work with and through others to achieve desired outcomes
  • Make prompt, pragmatic choices and act with the client in mind
  • Take ownership and hold themselves and others accountable for delivering results that matter
  • Contribute to the continuous evolution of the firm
At Raymond James - we honor, value, respect the uniqueness, experiences, and backgrounds of all of our Associates.

When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture.

The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.


Job Auditing & Compliance

Primary Location CA-ON-Ottawa-Ottawa

Organization Branch

Schedule Full-time

Status Permanent Full-Time

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