Branch Compliance Supervisor

Raymond James•Toronto, ON

1d•Onsite

About The Position

The Branch Compliance Supervisor will be responsible for monitoring retail account activity for compliance with governing regulations as well as internal policies and procedures. The Branch Compliance Supervisor will also provide regulatory guidance and support to Financial Advisors and requires strong relationship management skills.

Requirements

Fundamental investment concepts, practices, and procedures used in the securities industry
Regulatory AML/ATF compliance, risk management disciplines and best practices
Client service and relationship management
Analytical thinking and critical reasoning
Attention to detail
5 years experience at a broker dealer in a Compliance function, including two years of relevant experience working for a Dealer Member or such equivalent experience as may be acceptable to CIRO
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) and Derivatives Fundamentals Course (DFC), or 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
Experience with complex products including non-brokered private placements, leveraged ETFs, principal protected notes, hedge funds, segregated funds and illiquid securities

Nice To Haves

Dataphile, Risk & Compliance Intelligence Platform, FactSet, and Market Q are highly desirable
Microsoft Office with focus on Excel, Macros and VBAs, highly desired
Microsoft Power BI, Power Query, Power Apps and Power Automate, highly desired
SQL and ability to work with databases, highly desired
Communicate proficiently in French is an asset

Responsibilities

Conduct daily and monthly supervisory reviews of transactions in accordance with Canadian Investment Regulatory Organization (CIRO) minimum standards and Raymond James Ltd. (RJL) policies and procedures
Identify and resolve or escalate any areas of non-compliance
Review and approve client account applications and updates to account applications
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
Contribute to internal department initiatives and other projects, as requested