Elevate compliance standards in your career as a Branch Compliance Supervisor at Raymond James in Toronto, Ontario. Oversee regulatory adherence while supporting Financial Advisors and managing compliance issues.
This permanent full-time position requires you to handle compliance activities for retail accounts at Raymond James Ltd. You will conduct supervisory reviews and ensure all operations comply with regulatory standards. Strong analytical and relationship management skills are essential for promoting success in this role.
Key Responsibilities:
• Review transaction activity daily and monthly for compliance
• Identify and address non-compliance issues proactively
• Approve client application updates, ensuring documentation accuracy
• Maintain knowledge of RJL policies and regulations
• Fulfill CIRO Continuing Education requirements
Requirements:
• 5 years of experience in a compliance role at a broker dealer
• Knowledge of AML/ATF regulations and best ...