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About the Role

Reporting to the Manager, Compliance, this role is primarily responsible for trade approvals, monthly account reviews, and social media management. You will also contact sales staff to implement corrective actions and ensure compliance with firm policies and industry regulations. Additionally, you will serve as a compliance resource person for the department's "help desk".

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 experience 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
• Proficient with MS Office (focusing on Word, Excel and Outlook) and Dataphile
• Superior oral and written communication skills
• Well-developed and proven customer service and interpersonal skills
• Strong multi-tasker with the ability to work under pressure
• Perform well independently and with a team
• Have successfully completed Branch Manager, 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
• Oral communication
• Written communication
• Customer service
• Interpersonal skills
• Multi-tasking
• Working under pressure
• Independent work
• Teamwork

Location

• Canada

Work Type

• Full-time

Experience Level

• Mid-level

Education Level

• Canadian Securities Course
• Conduct and Practices Handbook Course
• Branch Manager Course (asset)
• Options Licensing Course (asset)
• Options Supervisors Course (asset)
• Other CSI Courses (asset)
• Legal diploma (asset)
• Privacy diploma (asset)

Salary/Compensations

• $72,000 - $85,000 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, and 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.
• 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.