Job Description
Branch Compliance Supervisor
We develop, collaborate, decide, deliver, and 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.
How does the role impact the organization?
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 supervisor will also provide regulatory guidance and support to Financial Advisors and requires strong relationship management skills.
What will your role be responsible for?
- Conduct daily and monthly supervisory reviews of transactions in accordance with Canadian Investment Regulatory Organization (CIRO) minimum standards and Raymond James Ltd. policies and procedures;
- Identify and resolve or escalat...