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Manager, Pcg Compliance

3 months ago

Toronto, Ontario, Canada Raymond James Financial Full time

Manager, PCG Compliance

Job Summary
Raymond James Ltd. is seeking a Manager, Private Client Group (PCG) Compliance. Raymond James Ltd.

is Canada's leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Drawing on industry experience in a financial services firm and experience in a compliance or supervision role, the Manager, PCG Compliance will be responsible for collaborating with the VP, PCG Compliance, in managing PCG compliance programs to meet target dates required by regulation and/or the business unit as well as maintaining and updating controls over products and processes.

Essential

Responsibilities:

  • Respond to and followup on inquiries from regulators, associates, and clients in a timely and efficient manner; and
  • Foster and support business relationships by proactively solving escalated supervision issues.

Qualifications
Knowledge of

  • Fundamental investment concepts, practices, and procedures used in the securities industry.
Skill in

  • Organization and timemanagement; and
  • Prioritization and flexibility.
Ability to

  • Work within deadlines in a highvolume and demanding environment while maintaining a high level of service;
  • Be detailoriented and produce work that requires mínimal review;
  • Exercise tact and discretion in the handling of confidential information;
  • 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;
  • Provide a high level of customer service in a professional manner; and
  • Fluency in French and English is an asset as you will be communicating with several clients in and outside of QC.
Educational/Previous Experience Requirements

  • A minimum of 10 years of industry related experience; and
  • Postsecondary education.
Licenses/Certifications

  • Successful completion of the following courses offered by the Canadian Securities Institute is required: The Canadian Securities Course, the Conduct and Practices Handbook Course, the Wealth Management Essentials Course, the Investment Dealer Supervisors Course, the Derivatives Fundamentals Course, the Options Licensing Course, and the Options Supervisor Course.
This is a permanent full-time position with a competitive compensation and benefits package.

Job Compliance

Primary Location CA-ON-Toronto-Toronto

Other Locations CA-BC-Vancouver-Vancouver, CA-QC-Montreal-Montréal

Organization Compliance

Schedule Full-time

Status Permanent Full-Time