Compliance Branch Supervisor

4 weeks ago

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

Branch Compliance Supervisor

At Raymond James, we prioritize collaboration, decision-making, and continuous improvement.

Raymond James Ltd. stands as Canada's premier independent investment dealer, dedicated to delivering exceptional investment solutions tailored to the wealth management needs of Canadians.

Role Impact on the Organization

The Branch Compliance Supervisor plays a crucial role in overseeing retail account activities to ensure adherence to regulatory standards and internal policies. This position also provides essential regulatory support to Financial Advisors, necessitating strong relationship management capabilities.

Key Responsibilities

  • Perform Tier 1 daily and monthly transaction reviews in line with CIRO standards and RJL policies;
  • Identify, address, or escalate compliance issues;
  • Review and authorize client account applications and modifications;
  • Evaluate and approve marketing materials, sales literature, and correspondence;
  • Maintain up-to-date knowledge of industry regulations and RJL policies;
  • Complete CIRO Continuing Education requirements;
  • Provide backup support for fellow Branch Compliance Supervisors;
  • Engage in departmental initiatives and projects as required.

What We Offer

Our greatest asset is our people. Upon eligibility, Raymond James Ltd. provides flexible work arrangements, a competitive salary, and a comprehensive benefits package. Our offerings include Health Benefits, RRSP Matching, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement, and more. We also promote internal advancement and community engagement.

Expectations from Candidates

  • Willingness to travel between branches;
  • Understanding of fundamental investment concepts and practices in the securities sector;
  • 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 eagerness to learn new software;
  • Strong client service and relationship management skills;
  • Analytical thinking and critical reasoning abilities;
  • Ability to meet deadlines in a fast-paced environment while ensuring high service quality and attention to detail;
  • Exemplary communication skills in face-to-face, email, video, and phone interactions;
  • Capacity to work independently and collaboratively within a team;
  • Professional demeanor to foster effective relationships across all organizational levels;
  • Ability to handle confidential information with discretion;
  • Fluency in French is essential.

Educational and Experience Requirements

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

Encouragement for Associates

  • Foster professional growth and inspire others;
  • Collaborate effectively to achieve desired results;
  • Make informed decisions with the client’s interests in mind;
  • Take ownership and accountability for impactful outcomes;
  • Contribute to the ongoing development of the firm.

At Raymond James, we value and respect the diverse experiences and backgrounds of all our associates. By embracing authenticity, we enhance our organization, clients, and communities, reflecting our people-first culture. The Company is committed to equal opportunity employment, making decisions based on merit and business needs.

We are dedicated to ensuring equal opportunities for all candidates. For accommodations, candidates are encouraged to reach out to Human Resources.

Job Category Auditing & Compliance

Primary Location Canada

Organization Branch

Schedule Full-time

Status Permanent Full-Time


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