Senior Branch Compliance Supervisor

At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.

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.

Senior Branch Compliance Supervisor

How does the role impact the organization?

The Senior Branch Compliance Supervisor will be responsible for monitoring retail account activity for compliance with governing regulations as well as internal policies and procedures. In addition to providing regulatory guidance and support to Financial Advisors, the Senior Branch Compliance Supervisor will be involved in more complex areas requiring in-depth technical knowledge, strong relationship management skills, and the ability to analyze and comment on broader implications of regulatory changes.

Essential Duties and Responsibilities

• Conduct daily and monthly supervisory reviews of transactions in accordance with Canadian Investment Regulatory Organization (CIRO) requirements and RJL policies and procedures;
• Identify, resolve, and or escalate any areas of non-compliance;
• Review and approve client account applications and updates; review and approve advertisements, sales literature and correspondence;
• Maintain working knowledge of industry regulations and RJL policies and procedures;
• Fulfill CIRO continuing education requirements;
• Provide back-up coverage for other Branch Compliance Supervisors; and
• Contribute to internal department initiatives and other projects, as assigned.

Senior Level Duties and Responsibilities

• Provide training for new supervisors;
• Respond to policy and regulatory changes with a view to the impact to supervision, and update firm-wide supervision documentation/manuals;
• Respond to queries and escalations around policy and procedure interpretation, client concerns, and complex or sensitive matters;
• Provide Supervisory coverage for other branches;
• Interview applicants for new supervisor positions;
• Assist senior Compliance and Supervision leaders with complex risk issues and team specific initiatives; and
• Respond to urgent matters with a view to minimizing impact.

What can you expect from us?

Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package. Our benefits range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more! We also support internal promotion and community involvement.

At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.

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.

Senior Branch Compliance Supervisor

How does the role impact the organization?

The Senior Branch Compliance Supervisor will be responsible for monitoring retail account activity for compliance with governing regulations as well as internal policies and procedures. In addition to providing regulatory guidance and support to Financial Advisors, the Senior Branch Compliance Supervisor will be involved in more complex areas requiring in-depth technical knowledge, strong relationship management skills, and the ability to analyze and comment on broader implications of regulatory changes.

Essential Duties and Responsibilities

• Conduct daily and monthly supervisory reviews of transactions in accordance with Canadian Investment Regulatory Organization (CIRO) requirements and RJL policies and procedures;
• Identify, resolve, and or escalate any areas of non-compliance;
• Review and approve client account applications and updates; review and approve advertisements, sales literature and correspondence;
• Maintain working knowledge of industry regulations and RJL policies and procedures;
• Fulfill CIRO continuing education requirements;
• Provide back-up coverage for other Branch Compliance Supervisors; and
• Contribute to internal department initiatives and other projects, as assigned.

Senior Level Duties and Responsibilities

• Provide training for new supervisors;
• Respond to policy and regulatory changes with a view to the impact to supervision, and update firm-wide supervision documentation/manuals;
• Respond to queries and escalations around policy and procedure interpretation, client concerns, and complex or sensitive matters;
• Provide Supervisory coverage for other branches;
• Interview applicants for new supervisor positions;
• Assist senior Compliance and Supervision leaders with complex risk issues and team specific initiatives; and
• Respond to urgent matters with a view to minimizing impact.

What can you expect from us?

Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package. Our benefits range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more! We also support internal promotion and community involvement.

What do we expect from you?

To qualify for this opportunity you possess:

Knowledge of

• Investment concepts, practices, and procedures used in the securities industry;
• Advanced regulatory policies, discussion topics, and broad industry supervisory issues;
• Regulatory AML/ATF compliance, risk management disciplines and best practices; and
• Dataphile and FactSet are highly desirable.