Compliance Officer- Rjlu

2 weeks ago

Toronto, Canada Raymond James Financial Full time

**Compliance Officer
- RJLU**
- 2300382

**Job Summary**
Raymond James Ltd. is seeking a Compliance Officer for its subsidiary company Raymond James (USA) Ltd. (RJLU).

RJLU is cross-border firm that is registered in the United States with the Securities and Exchange Commission as a Registered Investment Advisor and with the Financial Industry Regulatory Authority as a Broker-Dealer. In Canada, RJLU operates under Exemptive Relief Orders from the British Columbia and Ontario securities commissions.

Reporting to the Chief Compliance Officer of RJLU, the Compliance Officer will primarily be responsible for handling daily retail trade and account monitoring, answering compliance queries from Financial Advisors and their respective teams and, in large part, managing and processing back-office tasks.

**Essential Duties and Responsibilities**:

- Conduct daily and monthly trade reviews of US and Canadian retail accounts with a focus on:

- Blue-Sky;
- Pro Accounts;
- Penny Stocks; and
- Restricted Securities, among others.
- Regularly monitor the Compliance inbox to provide assistance to advisors and their teams regarding:

- Policies, procedures and processes;
- Requests to review and assess low priced securities for deposit;
- Requests to review and assess private placement certificates and supporting documentation for deposit; and
- Requests to review and assess restricted securities for legend removals and thereafter process legend removals and prepare the required documentation.
- Assist in creating Firm Element Continuing Education courses as well as the Annual Compliance Meeting course;
- Attend team and firm meetings; and
- Participate in other tasks, as assigned.

**Knowledge, skills and abilities**
**Knowledge of**
- MS Office and excellent proficiency with MS Excel and PowerPoint;
- Back-office operations with a focus on certificate deposits, legend removals and security transfers;
- Regulatory and compliance processes; and
- Pershing’s NetX360 system, desired.

**Skill in**
- Organizing, multi-tasking, and prioritizing; and
- Paying strong attention to detail.

**Ability to**
- Build strong relationships;
- Manage competing priorities;
- Work on simultaneous projects; and
- Communicate effectively both orally and in writing.

**Educational/ Previous Experience Requirements**
- Minimum 4 years Compliance experience within the securities industry;
- Experience working for a US broker-dealer or Canadian cross-border dealer highly desired;
- Successful completion of FINRA’s Securities Industry Essentials and Series 7 exams highly desired, or willingness to complete within a reasonable timeframe; and
- Well-developed and proven customer service and interpersonal skills.

**Depending on eligibility, we offer**:

- Hybrid work environment
- 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

**Job** Auditing & Compliance

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

**Organization** Compliance

**Schedule** Full-time

**Status** Permanent Full-Time

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