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About the Role

Reporting to the Manager, Compliance, you will be primarily responsible for trade approvals, monthly account reviews and social media management. You will also be responsible for contacting sales staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations. In addition, you will play an active role in staffing the department’s "help desk" as a compliance resource person.

Responsibilities

Monitor and approve trades in restricted securities and/or accounts
Respond to requests from branches on various compliance issues
Act as the primary contact person for questions pertaining to New Accounts and the restriction of document deficient accounts
Approve trade corrections and various trade review escalations
Conduct email and social media supervision
Provide support as required on various compliance projects
Execute other duties relevant to CIRO Tier 2 supervisory role

Requirements

Possess compliance or related branch/operations within the securities industries
Have successfully completed the Canadian Securities and the Conduct and Practices Handbook courses or agree to complete the courses within one year
Be proficient with MS Office (focusing on Word, Excel and Outlook) and Dataphile
Have a superior oral and written communication skills
Have a well-developed and proven customer service and interpersonal skills
Be a strong multi-tasker and have the ability to work under pressure
Perform well independently and with a team
Options experience is preferred
Have successfully completed Options Licensing, Options Supervisors Courses or other CSI Courses (are definite assets)
Possess legal and/or privacy diplomas (are an asset)

Skills

MS Office (Word, Excel, Outlook)
Dataphile
Options experience
Options Licensing
Options Supervisors Courses
Other CSI Courses
Legal diplomas
Privacy diplomas

Location

Canada

Work Type

Flexible workstyles

Experience Level

Mid-level

Education Level

Canadian Securities course
Conduct and Practices Handbook course
Legal diploma
Privacy diploma

Salary/Compensations

$65,000 - $82,000 annually
Competitive performance bonuses/incentives

Benefits

Flexible workstyles
Competitive compensation and benefits package
Health Benefits
RRSP Matching Program
Employee Stock Purchase Plan
Paid Time Off
Volunteer Days
Discretionary Bonuses
Tuition Reimbursement

About the Company

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.
At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.
Our most important investment is in people.
We also support internal promotion and community involvement.
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.
We may use automated or AI-enabled tools to support parts of our recruitment and screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently, but they do not replace human decision-making.

Equal Opportunity

The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
Here at Raymond James we demonstrate our commitment to ensuring equal opportunities for all candidates.
To request accommodations, candidates are instructed to contact Human Resources via email at recruitment@raymondjames.ca. By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.