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About the Role
The Senior Branch Compliance Supervisor will monitor retail account activity for compliance with regulations and internal policies. This role provides regulatory guidance to Financial Advisors and handles complex issues requiring technical knowledge, relationship management, and analysis of regulatory changes.
Responsibilities
- Conduct daily and monthly supervisory reviews of transactions per CIRO requirements and RJL policies.
- Identify, resolve, and escalate non-compliance issues.
- Review and approve client account applications, updates, advertisements, sales literature, and correspondence.
- Maintain knowledge of industry regulations and RJL policies.
- Fulfill CIRO continuing education requirements.
- Provide back-up coverage for other Branch Compliance Supervisors.
- Contribute to internal department initiatives and projects.
Requirements
- Knowledge of investment concepts, practices, and procedures in the securities industry.
- Knowledge of advanced regulatory policies, discussion topics, and broad industry supervisory issues.
- Knowledge of Regulatory AML/ATF compliance, risk management disciplines, and best practices.
- Proficiency in Microsoft Office, particularly Excel.
- Ability to learn new applications.
- Client service and relationship management skills.
- Analytical thinking and critical reasoning skills.
- Attention to detail.
- Ability to work within deadlines in a high-volume, demanding environment.
- Ability to maintain a high level of service and attention to detail.
- Advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills.
- Ability to analyze, summarize, and discuss the impact of complex supervisory issues.
- Ability to professionally present analysis of complex issues to senior management.
- Ability to exercise tact and discretion in handling confidential information.
- 10 years of experience at a broker dealer in a Compliance function.
- Two years of relevant experience working for a Dealer Member or equivalent acceptable to CIRO.
- Experience with complex products including non-brokered private placements, leveraged ETFs, principal protected notes, hedge funds, segregated funds, and illiquid securities.
Skills
- Microsoft Office
- Excel
- Client service
- Relationship management
- Analytical thinking
- Critical reasoning
- Attention to detail
- Communication (face-to-face, email, videoconferencing, telephone)
- French proficiency (highly desirable)
Location
- Canada
Work Type
- Flexible workstyles
Experience Level
- Senior
- 10 years experience at a broker dealer in a Compliance function
- Two years of relevant experience working for a Dealer Member or such equivalent experience as may be acceptable to CIRO
Education Level
- Proficiency requirements necessary for registration as a CIRO Supervisor with options.
- Canadian Securities Course (CSC)
- Conduct and Practices Handbook Course (CPH)
- Options Licensing Course (OLC)
- Derivatives Fundamentals Course (DFC)
- Derivatives Fundamentals and Options Licensing (DFOL)
- Investment Dealer Supervisors Course (IDSC)
- Options Supervisors Course (OPSC)
- Canadian Investment Regulatory Exam (CIRE)
- Retail Securities Exam (RSE)
- Derivatives Exam
- Supervisor Exam
Salary/Compensations
- $110,000-125,000 annually
- competitive performance bonuses/incentives
Benefits
- 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.