Branch Compliance Examiner

3 days ago

Toronto, Canada Raymond James Financial Full time

**Branch Compliance Examiner**
- 2300653

**Job Summary**

**Essential Duties and Responsibilities**
- Branch Examination: Conduct regular travel to various Branches. Prior to trips you will be required to conduct background reviews of the Branch offices. While there you will meet with staff including Branch Management and review required files. Also, there is an educational element to the visits so you will be expected to present to staff relevant and current Compliance issues. Additionally, as needed, certain examinations may be conducted on a remote basis;
- Reporting: Prepare written reports, recommend required action plans, and conduct proper follow-up. Similarly, escalate extraordinary issues discovered during examinations to Senior Management within the firm;
- Education: Maintain a working knowledge of the industry, rules and regulations as well as RJL policy and procedures by reviewing regulatory bulletins & notices and attending or completing industry and internal courses or conferences; and
- Development: Work closely with the Manager, Branch Compliance Examinations to continue to improve and update the existing Branch Compliance Examination program and plan. Also, contributing to the implementation and oversight of testing procedures for additional business lines such as the Retirement and Financial Planning area. This may include opportunities for further specialization and certification.

**Knowledge, Skills, and Abilities**

**Knowledge of**
- Concepts, practices, and procedures of securities industry and/or banking compliance reviews

**Skill in**

**Ability to**
- Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail
- Exercise tact and discretion in the handling of confidential information
- Accurately assess complex situations with an analystical mindset;
- Strong investigation skills and the ability to find solutions;
- Remain objective, tactful and diplomatic during conflicts;
- Work independently as well as collaboratively within a team environment;; and
- Communicate proficiently in French is an asset.

**Educational/Previous Experience Requirements**
- An Undergraduate Degree; and
- At least 5 years’ experience within the securities industry with two years in a Compliance capacity.

**Licences/Certifications**
- Completion of the required industry courses (CSC, CPH); and
- Completion of specialized courses such as the Branch Managers Course, Options Supervisors Course, various FINRA courses, Certified Anti-Money Laundering Specialist and Life Insurance licensing( are definite assets)

**Travel**
- Possess a valid driver's license with a willingness to drive significant distances to visit other branches, as required.

**Depending on eligibility, we offer**:

- Competitive Wages
- Health Benefits Program including Life Insurance and Disability from start date
- RRSP Matching Program from start date
- Employee Stock Purchase Plan
- Paid Time Off & Other Time Off such as Volunteer Day
- Discretionary Bonuses
- Tuition Reimbursement Program
- Top Up Plan
- Employee Investment Accounts
- Flexible Work Styles

**Raymond James Guiding Behaviors**

**Job** Auditing & Compliance

**Primary Location** CA-ON-Toronto-Toronto

**Organization** Compliance

**Schedule** Full-time

**Status** Permanent Full-Time

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