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About the Role
As a Senior Compliance Officer, you will play an important role in ensuring the firm's adherence to industry regulations and internal policies. Your primary responsibility will be monitoring retail account activity, implementing corrective actions, and maintaining compliance standards. Additionally, you will serve as a key resource on the department's help desk, providing guidance and support to staff.
Responsibilities
- Support the Manager, Compliance in leading and overseeing compliance for discretionary portfolio programs.
- Prepare regulatory reports to meet RJIC filing requirements with the BCSC and OSC.
- Conduct ongoing trade reviews and supervise managed accounts, focusing on Tier 2 and hybrid Tier 1 supervisory duties.
- Conduct and approve Investment Fund Manager Net Asset Value (NAV) reviews for pooled funds.
- Assist in the preparation of supervision and performance reports for Operating Group meetings.
- Support the Manager, Compliance in conducting compliance risk assessments, audits, and examinations.
- Identify, assess, and escalate compliance risks, including emerging regulatory risks.
- Conduct and lead compliance risk assessments and thematic reviews.
- Provide day-to-day guidance to Compliance officers and registrants.
- Act as a subject matter expert and escalation point for complex issues.
- Support development of compliance training programs and best practices.
- Respond to compliance-related inquiries from branches.
- Provide training and ongoing guidance to Compliance Officers.
- Exercise enhanced judgement on complex approvals or recommendations to management.
- Provide final review and escalation recommendations to management on non-standard cases.
- Approve new account applications and IPS updates.
- Act as the primary contact for questions regarding new accounts and document-deficient accounts.
- Approve trade corrections and marketing requests from Portfolio Managers.
- Review short positions in cash, RRSP, and margin accounts as needed.
- Conduct option reviews, restricted security monitoring and portfolio analysis.
- Act as a senior advisor to branches and portfolio managers on compliance matters.
- Proactively engage with business partners to mitigate risk and improve controls.
- Represent Compliance in cross-functional initiatives.
- Monitor and respond to inquiries in the RJIC Compliance Help Inbox and assist with PIMG Compliance inbox queries from PMs.
- Provide investigative support on various compliance projects.
- Contribute to improvement of compliance systems, controls, and processes.
- Support strategic initiatives aligned with regulatory change and business growth.
- Perform other duties as assigned by the Manager, Compliance.
Requirements
- Minimum 3 years of experience in compliance within the securities industry.
- Successful completion of the Branch Manager / Investment Dealer Supervisors Course (IDSC) course and eligible for the CIRO registration category of Supervisor and Registered Representative, or committed to their successful completion.
- Committed to the successful completion of the CIM designation would be considered an asset.
- Proficiency with spreadsheets and Dataphile.
- Excellent analytical, communication, and interpersonal skills.
- Ability to work independently and as part of a team.
- Well-developed and proven customer service and interpersonal skills.
- Strong multi-tasking skills and the ability to work under pressure.
- Excellent group dynamics and the desire to work in a team environment.
- Support from your department Manager is required.
Skills
- Compliance
- Securities industry
- Spreadsheets
- Dataphile
- Analytical skills
- Communication skills
- Interpersonal skills
- Customer service skills
- Multi-tasking skills
- Teamwork
Location
- Canada
Work Type
- Full-time
Experience Level
- Senior
Education Level
- Branch Manager / Investment Dealer Supervisors Course (IDSC)
- CIM designation (asset)
Salary/Compensations
- $75,000 - $90,000 annually
Benefits
- Flexible workstyles
- Competitive compensation
- 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 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.
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.
- 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.