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Compliance Branch Supervisor

3 months ago

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

Branch Compliance Supervisor

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

Raymond James Ltd. stands as a premier independent investment dealer in Canada, dedicated to providing tailored investment solutions to meet the diverse wealth management needs of Canadians.

Role Impact:

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 involves offering regulatory support to Financial Advisors, necessitating exceptional relationship management capabilities.

Key Responsibilities:

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

What We Offer:

Our greatest asset is our people. Upon meeting eligibility criteria, Raymond James Ltd. provides flexible work arrangements, competitive compensation, 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:

  • 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 a readiness to learn new software;
  • Strong client service and relationship management skills;
  • Analytical thinking and problem-solving abilities;
  • Ability to meet deadlines in a fast-paced environment while maintaining exceptional service and attention to detail;
  • Exhibit professionalism in all forms of communication and relationship management;
  • Work independently and collaboratively within a team;
  • Maintain confidentiality and handle sensitive information with discretion;
  • Fluency in French is essential.

Qualifications:

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

We Encourage Our Associates To:

  • Advance professionally and inspire others;
  • Collaborate effectively to achieve goals;
  • Make informed decisions with the client’s best interests in mind;
  • Take ownership and accountability for meaningful results;
  • Contribute to the ongoing development of the firm.

At Raymond James, we celebrate the diversity and unique experiences of all our associates. By bringing their authentic selves to work, our team members enhance our organization, clients, and communities, reflecting our people-first culture. We are an equal opportunity employer, making all employment decisions based on merit and business needs.

Raymond James is committed to ensuring equal opportunities for all candidates. To request accommodations, candidates are encouraged to reach out to Human Resources for assistance in the recruitment process.

Job Category: Auditing & Compliance

Primary Location: Ottawa

Organization: Branch

Schedule: Full-time

Status: Permanent Full-Time


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