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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 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 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
- 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)
- Bilingualism (French and English) is an asset
Skills
- MS Office (Word, Excel, Outlook)
- Dataphile
- Customer service
- Interpersonal skills
- Multi-tasking
- Working under pressure
- Independent work
- Teamwork
- Oral communication
- Written communication
Location
- Canada
Work Type
- Flexible workstyles
Experience Level
- Compliance or related branch/operations experience within the securities industries
Education Level
- Canadian Securities course
- Conduct and Practices Handbook course
- Legal diploma (asset)
- Privacy diploma (asset)
Salary/Compensations
- $72,000 - $85,000 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.
- Our most important investment is in people.
- 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.