Compliance Branch Supervisor

4 weeks ago

Ottawa, Ontario, Canada Raymond James Financial, Inc. Full time

Branch Compliance Supervisor

At Raymond James Financial, Inc., we foster a culture of collaboration, innovation, and continuous improvement.

As a premier independent investment dealer in Canada, Raymond James Ltd. provides tailored investment solutions to meet the diverse wealth management needs of our clients.

Role Overview:

The Branch Compliance Supervisor is tasked with overseeing retail account activities to ensure adherence to applicable regulations and internal protocols. This position requires a strong ability to manage relationships and provide regulatory support to Financial Advisors.

Key Responsibilities:

  • Perform daily and monthly Tier 1 reviews of transactions, ensuring compliance with CIRO standards and RJL policies;
  • Identify, address, or escalate compliance issues as necessary;
  • Review and authorize client account applications and modifications;
  • Evaluate and approve marketing materials, sales literature, and client communications;
  • Maintain an up-to-date understanding of industry regulations and internal policies;
  • Complete CIRO Continuing Education requirements;
  • Provide support for other Branch Compliance Supervisors as needed;
  • Participate in departmental initiatives and projects as assigned.

What We Offer:

Our greatest asset is our people. Raymond James Ltd. provides flexible work arrangements, competitive compensation, and a comprehensive benefits package, including health benefits, RRSP matching, employee stock purchase plans, paid time off, volunteer days, discretionary bonuses, tuition reimbursement, and more. We prioritize internal promotions and community engagement.

Expectations:

  • Willingness to travel between branches;
  • Understanding of fundamental investment concepts and practices;
  • Knowledge of regulatory compliance, risk management, and best practices;
  • Familiarity with Dataphile, DST Regulatory Surveillance Manager, Thompson ONE, and Market Q is advantageous;
  • Proficiency in Microsoft Office and a readiness to learn new software;
  • Strong client service and relationship management skills;
  • Analytical and critical thinking abilities;
  • Ability to meet deadlines in a fast-paced environment while maintaining attention to detail;
  • Excellent communication skills, both in-person and through various channels;
  • Ability to work independently and collaboratively within a team;
  • Professional demeanor to build effective working relationships;
  • Discretion in handling confidential information;
  • Fluency in French is essential.

Qualifications:

  • A minimum of 5 years of experience in a compliance role within a broker-dealer, including 2 years in a supervisory position;
  • Qualifications necessary for registration as an IIROC Supervisor;
  • Experience with complex financial products such as non-brokered private placements, leveraged ETFs, hedge funds, and illiquid securities.

Our Commitment:

At Raymond James, we value the unique experiences and backgrounds of all our associates. We believe that when individuals bring their authentic selves to work, our organization, clients, and communities thrive. We are an equal opportunity employer and make all employment decisions based on merit and business needs.

We are dedicated to ensuring equal opportunities for all candidates and encourage those requiring accommodations to reach out for support during the recruitment process.

Job Category: Auditing & Compliance

Location: Ottawa

Employment Type: Full-time

Status: Permanent Full-Time

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