New Job Branch Compliance Supervisor In British Columbia

Branch Compliance Supervisor
Branch Compliance Supervisor

Branch Compliance Supervisor

Company : Raymond James Financial
Salary : Details not provided
Location : British Columbia

Full Description

Branch Compliance Supervisor

  • 2302988

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

Raymond James Ltd. is Canada's leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Branch Compliance Supervisor

How important is the role of a person in an organization?

The branch compliance supervisor will be responsible for monitoring retail account activity for compliance with governing regulations as well as internal policy and procedures, the Branch Compliance Supervisor also provides regulatory guidance and support to financial advisors and requires strong relationship management skills.

What is the role of a position in government?

  • Conduct daily and monthly reviews of transactions in accordance with IIROC minimum standards and RJL policy and procedures, Tier 1.
  • Any areas of non-compliance will be investigated and resolved.
  • Review and approve client account applications and make changes to account applications; Request
  • Review and approve advertisements, sales literature, and correspondence;
  • Maintain working knowledge of industry regulations and RJL policy, procedures?
  • Fulfilling the continuing education requirements of CISCO?
  • Provide support for other Branch Compliance Supervisors, and provide back-up coverage. )
  • As requested, I will contribute to internal departmental initiatives and other projects.

What can you expect from us?

Our most important investment is in people. Upon eligibility, Raymond James offers flexible work styles and competitive compensation packages including: Health benefits, RRSP Matching, Employee Stock Purchase Plan, Paid Time Off, and Volunteer Days; we also support internal promotion and community involvement. **

What do we expect from you?

  • Fundamental investment concepts, practices and procedures used in the securities industry?
  • Regulatory compliance, AML/ATF compliance, risk management and best practices. )
  • Dataphile, DST Regulatory Surveillance Manager, and One World Market are highly desirable.
  • Microsoft Office has a wide variety of applications, he said.
  • What are the differences between client service and relationship management?
  • Analytical and critical reasoning? What are some examples?
  • Working within a high-volume and highly competitive environment while balancing a very high level of service and an imperative attention to detail, he said.
  • Demonstrate advanced face-to-face, email, videoconferencing and telephone etiquette and relationship management skills?
  • Working independently and collaboratively within a team environment, he said.
  • Demonstrate a professional manner in which you establish and maintain effective working relationships at all levels of the organization? )
  • Exercise tacit and discretion in handling sensitive information.
  • Communicating effectively in French is an asset.

Educational/Previous Experience Requirements

  • 5 years of experience in a broker dealer's compliance function, including 2 years at supervisory level.
  • The necessary proficiency requirements for registration as an IIROC supervisor with options; and:
  • Experience with complex products including non-brokered private placements, leveraged ETFs, principle protected notes, hedge funds, and segregated funds and illiquid securities.

How can I differentiate myself from others?

  • Communicating effectively in French is an asset.

What are some examples of associates at all levels?

  • Grow professionally and inspire others to do the same.
  • Working with others to achieve desired outcomes.
  • Make prompt, pragmatic choices and act with client in mind.
  • How do I take responsibility and hold others accountable for delivering results that matter?
  • Contribute to the continuous evolution of the firm.

At Raymond James, we honor the unique qualities of all associates and respect their best and most authentic self. The company is an equal opportunity employer and makes decisions on the basis of merit and business needs. When associates bring their strongest, most authentic self to the workplace, our organization, clients, and communities will thrive."

We demonstrate our commitment to ensuring equal opportunities for all candidates. To request accommodations, candidates are instructed by email to contact Human Resources at [email protected] and discuss the necessary accommodations they may need in the recruitment process.

Job Auditing & Compliance
Primary Location CA-BC-Vancouver-Vancouver
Other Locations CA-BC-Burnaby-Burnaby
Organization Branch
Schedule Full-time