Compliance Intern

Raymond James • Vancouver, BC

14d

About The Position

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. Reporting to the Senior Manager, Compliance, you will be primarily responsible for general projects such as reviewing Advisors social media use; identifying Compliance related concerns; and providing a summary to the Senior Manager. You will also work closely with the Compliance Manager on various other tasks within the department.

Requirements

• Currently enrolled in a post-secondary program in a related field of study
• Possess strong organizational skills
• Have a keen eye for details
• Be proficient with MS Office (focusing on Word, Excel and Outlook)
• Have strong oral and written communication skills
• Perform well independently and with a team

Responsibilities

• Perform a review of advisors social media sites and compare to existing Raymond James’ Social Media user policy
• Provide your findings in a written summary to Compliance Management
• Consolidate and archive Compliance related folders in the H:drive
• Review Continuing Education (CE) accreditation credits
• Search and identify Compliance related documents on RJNET that require contact information updates
• Review and clear daily email and social media items via Proofpoint
• Review and clear daily regulatory notices
• Assist the Compliance Associate with the requests for information
• Other tasks as needed

Benefits

• Immerse yourself in a hands-on experience within our dynamic and collaborative work environment, where seasoned professionals offer mentorship and guidance.
• This unique opportunity providing you with unparalleled exposure to diverse facets of finance and operations within the industry.
• Furthermore, you'll have the chance to actively engage and network with seasoned professionals, fostering connections that will undoubtedly contribute to your professional growth and development.
• Mentorship and guidance from experienced professionals.

What This Job Offers

• Career Level: Intern
• Education Level: No Education Listed