Compliance Branch Examiner

3 weeks ago

Toronto, Canada Raymond James Financial, Inc. Full time

**Compliance Branch Examiner**
- 2402795
- 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.

**Compliance Branch Examiner**

**How does the role impact the organization?**

Raymond James Ltd. is seeking a Compliance Branch Examiner to assist with our Branch Review Program.

**What will your role be responsible for?**
- Conducting Branch Reviews
- Assist with drafting, developing and implementing policy & procedures and technical improvements for the Branch Review Program
- Educating Branch staff on relevant and current Compliance issues
- Preparing written reports, recommending required action plans, and conducting proper follow-up for Branch Reviews
- Escalating extraordinary issues discovered during examinations to Senior Management
- Assisting the Senior Manager, Compliance Branch Reviews with improving and updating the existing Review Program and plan.
- Contributing to the implementation and oversight of testing procedures for additional business lines such as Insurance, Trust Services, Tax Consulting and the Retirement & Financial Planning area. This may include opportunities for further specialization and certification.
- Maintaining a working knowledge of the industry, its rules and regulations as well as Raymond James Ltd. policies and procedures.

**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?**

**_ To qualify for this opportunity you possess:_**
- At least 5 years’ experience within the securities industry.
- Minimum 2 years in a Compliance capacity.
- Completion of required industry courses (CSC, CPH).
- Preferred courses: Branch Managers Course, Options Supervisors Course, Financial Planning & Life Insurance licensing.
- Bilingual in French and English is highly desirable.
- Valid driver’s license.
- Time management skills and the ability to work & travel independently on an extensive basis.
- Willingness to drive sizable distances to various Branch offices as needed.

**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.

**Salary Range: BC (based on Education, Work Experience, etc) **$73,000-78,000 in addition to competitive performance bonuses/incentives.

**Job** Compliance

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

**Other Locations** CA-BC-Vancouver-Vancouver, CA-AB-Calgary-Calgary

**Organization** Compliance

**Schedule** Full-time

**Status** Permanent Full-Time

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