Compliance Associate

Raymond James Ltd.; Vancouver; On-site; CAD 50,000 - 60,000; Full time

Job summary

Raymond James Ltd. is seeking a Compliance Associate in Vancouver to assist the Compliance team in trade approvals, account reviews, and maintaining compliance with policies. The role demands strong communication skills, experience in the securities industry, and proficiency with MS Office. The company fosters professional development and offers a competitive compensation package including bonuses and benefits.

Benefits

Flexible workstyles

Health Benefits

RRSP Matching Program

Employee Stock Purchase Plan

Paid Time Off

Volunteer Days

Tuition Reimbursement

Discretionary Bonuses

Qualifications

• Possess compliance or related branch/operations experience.
• Successfully completed or agree to complete required securities courses.
• Strong oral and written communication skills.

Responsibilities

• Assist Compliance Officers with trade approvals and account reviews.
• Generate reports for Branches and Compliance Officers.
• Monitor trading activities and respond to compliance requests.

Skills

Communication

Customer Service

Multi-tasking

Education

Completion of the Canadian Securities course

Conduct and Practices Handbook courses

Tools

MS Office

Dataphile

Job description

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.

Compliance Associate

How does the role impact the organization?

Reporting to the Senior Manager, Compliance, you will be primarily responsible for assisting Compliance Officers in the areas of trade approvals, monthly account reviews and social media management. You will also be responsible for contacting sales staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations. In addition, you will play an active role in staffing the department’s "help desk" as a compliance resource person.

What will your role be responsible for?

• Support Senior Manager, Compliance with ongoing compliance functions for private client branch accounts;
• Generate daily and monthly reports for Branches and Compliance Officers;
• Manage and coordinate Requests for Information from various regulatory bodies;
• Monitor trading in restricted securities and/or accounts;
• Respond to requests from branches on various compliance issues;
• Conduct email and social media supervision; and
• Provide support as required on various compliance projects.

What can you expect from us?

Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package. Our benefits range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more! We also support internal promotion and community involvement.

What do we expect from you?

• Possess compliance or related branch/operations within the securities industries;
• Have successfully completed the Canadian Securities and the Conduct and Practices Handbook courses or agree to complete the courses within one year;
• Be proficient with MS Office (focusing on Word, Excel and Outlook) and Dataphile;
• Have a superior oral and written communication skills;
• Have a well-developed and proven customer service and interpersonal skills;
• Be a strong multi-tasker and have the ability to work under pressure;
• Perform well independently and with a team.

We encourage our associates at all levels to:

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm.

At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all of our associates. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Here at Raymond James we demonstrate our commitment to ensuring equal opportunities for all candidates. To request accommodations, candidates are instructed to contact Human Resources via email at [e-mail]. By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.

Salary Range: BC (based on Education, Work Experience, etc) $50,000-$60,000 in addition to competitive performance bonuses/incentives.

Job Auditing & Compliance

Primary Location CA-BC-Vancouver-Vancouver

Other Locations CA-ON-Toronto-Toronto

Organization Compliance

Schedule Full-time

Status Permanent Full-Time