Branch Compliance Examiner

1 month 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

  • Business Conduct Compliance Examiner

    1 month ago

    Toronto, Canada CIRO OCRI Full time

    **Position Title: Business Conduct Compliance Examiner (ID)** **Department: Business Conduct Compliance** **Location: Toronto** **Status: Permanent, Full-time (Hybrid)** As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards...

  • Business Conduct Compliance Examiner

    4 weeks ago

    Toronto, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

    **Position Title: Business Conduct Compliance Examiner** **Department: Business Conduct Compliance** **Location: Toronto** **Status: Permanent, Full-time (Hybrid)** As a self-regulatory organization, the New Self-Regulatory Organization of Canada (New SRO) takes our responsibility of setting high-quality regulatory and investment industry standards...

  • Compliance Officer

    4 weeks ago

    Toronto, Canada Aviso Wealth Full time

    **Aviso Wealth**: **The Opportunity**: We’re looking for a Compliance Officer to join our Compliance team. This role can be mostly remote, however we will on occasion require you to come onsite to our office at 151 Yonge St, Toronto, ON. Reporting to the Manager, Branch Examination, the Branch Examiner is responsible for conducting onsite and/or remote...

  • Branch Compliance Manager

    4 weeks ago

    Toronto, Canada Alterna Full time

    **Scope of Position** Under the direction of the VP, Wealth Management (WM), the Branch Compliance Manager (BCM), is responsible for all aspects of tier 1 mutual fund compliance duties for licensed representatives. This includes reviewing suitability of mutual fund trades and approval of account opening documentation ensuring risk and objectives are in...

  • Examiner

    9 minutes ago

    Toronto, Canada Ministry of Public and Business Service Delivery Full time

    The Central Production and Verification Services Branch (CPVSB), Central Services Division accepts, reviews and fulfills corporation registration and information filings, business registration and search related service requests received through all service delivery channels and supports fulfillment of business and personal property security related...

  • Compliance/tier 1 Supervision

    1 month ago

    Toronto, Canada Transamerica Full time

    Job Family Regulatory Compliance - Who We Are Transamerica has been helping people feel better about the future for more than 100 years. We provide investment, retirement, and life insurance solutions to more than 11 million customers throughout the U.S. But the way we see it, our responsibility goes beyond our clients’ accounts. We’re in the business...

  • Compliance Officer

    3 weeks ago

    Toronto, ON, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN Description Position Title: Compliance Officer (MFD) Department: Business Conduct Compliance Region: Toronto Status: Permanent Full-time (Hybrid) CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...

  • Financial Reporting Assistant Manager

    1 month ago

    Toronto, Canada Branch Full time

    **About Branch**: Branch is shaking up the $46B office furniture industry to create an office experience for the 21st century: easy, affordable and flexible so you can sit down (or stand) and get to work. We're based in NYC and backed by the investors behind household brands like Carta, Caraway and Peloton. Our founders arrive with experience in...

  • Business Operations Administrator

    4 weeks ago

    Toronto, ON, Canada Branch Full time

    is shaking up the $46B office furniture industry to create an office experience for the 21st century: easy, affordable and flexible so you can sit down (or stand) and get to work. Office furniture hasn't changed in a while--about 85 years, in fact. That's the average age of the top twenty-five office furniture companies in America. Branch makes beautiful and...

  • People Operations Specialist

    4 weeks ago

    Toronto, ON, Canada Branch Full time

    About Branch is shaking up the $46B office furniture industry to create an office experience for the 21st century: easy, affordable and flexible so you can sit down (or stand) and get to work. Office furniture hasn't changed in a while--about 85 years, in fact. That's the average age of the top twenty-five office furniture companies in America....

  • Accident Benefits Examiner

    1 month ago

    Toronto, Canada Ministry of Public and Business Service Delivery Full time

    The Risk Management and Insurance Services Branch is seeking an experienced Statutory Accident Benefits claims examiner to conduct and lead the negotiation and settlement of accident benefit claims and third-party bodily injury claims made against the Motor Vehicle Accident Claims Fund (MVACF). **OPS Commitment to Diversity, Inclusion, Accessibility, and...

  • Senior Manager, Mutual Fund Dealer Compliance

    5 days ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 199060 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Reporting to the Director, Chief Compliance Officer, Scotia Securities Inc. (SSI) Compliance, the Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance...

  • Compliance Analyst, Trade Supervision

    1 week ago

    Toronto, Canada Sun Life Full time

    You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll...

  • People Operations Specialist

    1 month ago

    Toronto, Ontario, Canada Branch Furniture Full time

    About BranchBranch is shaking up the $46B office furniture industry to create an office experience for the 21st century: easy, affordable and flexible so you can sit down (or stand) and get to work. Office furniture hasn't changed in a while--about 85 years, in fact. That's the average age of the top twenty-five office furniture companies in America. None of...

  • Associate, Banking Compliance

    4 weeks ago

    Toronto, Canada Sumitomo Mitsui Banking Corporation Full time

    **Role Description**: Reporting to the Director, Regulatory Governance (“Director”), the Associate, Banking Compliance works closely with the Analyst, Regulatory Compliance with respect to the governance and execution of Canada Branch compliance risk management programs and related projects and initiatives. The position is responsible for a variety of...

  • Compliance Advisor, Compliance Services and Advisor

    7 days ago

    Toronto, Canada Richardson Wealth Full time

    **Employment Status**: Permanent Full-Time **Location**: Toronto, ON **Department**: Risk & Compliance **Reporting To**: Manager - Compliance Services and Advisor Support **Job Id**: CPL - 084 **Job Level**: L3 **Seniority Level**: Associate **Position Overview**: The Compliance Advisor, Compliance Services and Advisor Support, is a resource for...

  • Director of Compliance

    5 days ago

    Toronto, ON, Canada Europ Assistance Canada Services Inc. Full time

    DIRECTOR OF COMPLIANCEEurop Assistance Canada, part of Generali Group ( is looking for a Director of Compliance to join our Legal team in Canada, who can contribute to the building of local Canadian operations. Europ Assistance ( is a global company, active in over 200 countries and territories in the delivery of our products and services.The Canadian...

  • Director of Compliance

    5 hours ago

    Toronto, ON, Canada Europ Assistance Canada Services Inc. Full time

    DIRECTOR OF COMPLIANCEEurop Assistance Canada, part of Generali Group ( is looking for a Director of Compliance to join our Legal team in Canada, who can contribute to the building of local Canadian operations. Europ Assistance ( is a global company, active in over 200 countries and territories in the delivery of our products and services.The Canadian...

  • Director of Compliance

    5 days ago

    Toronto, ON, Canada Europ Assistance Canada Services Inc. Full time

    DIRECTOR OF COMPLIANCEEurop Assistance Canada, part of Generali Group ( is looking for a Director of Compliance to join our Legal team in Canada, who can contribute to the building of local Canadian operations. Europ Assistance ( is a global company, active in over 200 countries and territories in the delivery of our products and services.The Canadian...

  • Director of Compliance

    5 days ago

    Toronto, Canada Europ Assistance Canada Services Inc. Full time

    DIRECTOR OF COMPLIANCE Europ Assistance Canada, part of Generali Group ( ), is looking for a Director of Compliance to join our Legal team in Canada, who can contribute to the building of local Canadian operations. Europ Assistance ( ) is a global company, active in over 200 countries and territories in the delivery of our products and services. The...