Compliance Associate / Officer

Raymond James Financial; Toronto; On-site; CAD 60,000 - 75,000; Full time

Job summary

Raymond James Financial is seeking a Compliance Associate / Officer to support regulatory tasks for its subsidiary. The role involves monitoring securities compliance, generating reports, and assisting in policy development. Ideal candidates will have 2-4 years of experience and a strong understanding of regulatory frameworks.

Benefits

Health Benefits

RRSP Matching Program

Employee Stock Purchase Plan

Paid Time Off

Volunteer Days

Discretionary Bonuses

Tuition Reimbursement

Qualifications

• Minimum 2-4 years of compliance experience within the securities industry.
• Experience with U.S. broker-dealer or Canadian cross-border dealer is desired.
• Excellent proficiency with MS Outlook, Word, Excel, and PowerPoint.

Responsibilities

• Review transfers of low-priced, high-risk and restricted securities.
• Generate exception reports to ensure compliance with policies.
• Monitor the Compliance inbox for queries from advisors.

Skills

Attention to detail

Organizing

Multi-tasking

Education

FINRA’s Securities Industry Essentials

Series 7 and Series 24 exams

2-4 years Compliance experience

Tools

MS Office

Job description

Job Description - Compliance Associate / Officer (2500333)

Compliance Associate / Officer - 2500333

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 / Officer

How does the role impact the organization?

RJL is seeking a Compliance Associate / Officer for its subsidiary company Raymond James (USA) Ltd. (RJLU). The role will be based out of Montreal, Toronto or Vancouver.

RJLU is a cross-border firm registered in the U.S. with the Securities Exchange Commission (SEC) as a Registered Investment Advisor and with Financial Industry Regulatory Authority (FINRA) as a Broker-Dealer. In Canada, RJLU operates under Exemptive Relief orders from the British Columbia and Ontario securities commissions.

Reporting to the Manager, RJLU Compliance, the Compliance Associate / Officer will be responsible for the regulatory and administrative tasks encompassing both the Institutional and Private Client Group lines of business.

This position requires background in compliance processes, with knowledge of FINRA / SEC rules and regulations to proactively build and support a strong regulatory control framework. The position interfaces with advisors, sales assistants, transfer agents, the firm’s custodian as well as RJLU’s home office staff, management and executive in addition to Legal and Finance.

What will your role be responsible for?

• Daily, review transfers of low-priced, high-risk and restricted securities.
• Daily, generate exception reports to ensure compliance with various policies and procedures.
• Daily, monitor the Compliance inbox for queries from advisors and sales assistants.
• Review, approve and process requests for deposits of low-priced securities.
• Review, approve and process requests for physical security legend removals.
• Track incoming Canadian and U.S. dollar denominated checks and maintain requisite logs.
• Track physical security deposits and maintain requisite logs.
• Assist in portfolio reviews by pulling drift reports and tracking portfolio rebalancing.
• Assist in establishing and updating compliance policies to ensure compliance with U.S. laws and regulations.
• Assist in developing the Continuing Education program for the Institutional and Private Client Group lines of business.
• Conduct email supervision for the Private Client Group.
• Assist the CCO, Senior Manager and Manager with Ad Hoc tasks and projects.
• Attend team and firm meetings.
• Travel on an Ad-Hoc basis, if required.
• Participate in other tasks, as assigned.

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?

To qualify for this opportunity you possess :

Knowledge of

• MS Office and excellent proficiency with MS Outlook, Word, Excel and PowerPoint.
• Operations with a focus on certificate deposits, legend removals and security transfers.
• Regulatory and compliance processes.

Skill in

• Organizing, multi-tasking, and prioritizing.
• Paying strong attention to detail.

Ability to

• Build strong relationships.
• Manage competing priorities.
• Work on simultaneous projects.
• Communicate effectively both orally and in writing.

Educational & Previous Experience Requirements

• Minimum 2-4 years years Compliance experience within the securities industry.
• Experience working for a U.S. broker-dealer or Canadian cross-border dealer highly desired.
• Successful completion of FINRA’s Securities Industry Essentials, Series 7 and Series 24 exams highly desired, or willingness to complete within a reasonable timeframe.
• Well-developed and proven customer service and interpersonal skills.

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) $60,000-75,000 in addition to competitive performance bonuses / incentives.

Auditing & Compliance

Primary Location

Primary Location

CA-ON-Toronto-Toronto

Other Locations

Raymond James Ltd. is a member of the Investment IndustryRegulatory Organization of Canada (IIROC) and of the Canadian Investor ProtectionFund (CIPF). Customers’ accounts are protected by the Canadian Investor ProtectionFund within specified limits. A brochure describing the nature and limits ofcoverage is available upon request or at . 3Macs, MacDougall,MacDougall & MacTier and Raymond James Correspondent Services are divisions ofRaymond James Ltd. Raymond James Ltd. is an integrated financial services firm. Itssubsidiaries, Raymond James Investment Counsel Ltd., Raymond James FinancialPlanning Ltd., Raymond James Trust (Canada) and Raymond James Trust (Québec) Ltd.are not members of the IIROC or the CIPF. Please consult each subsidiary’s webpagesfor applicable corporate, regulatory or membership information.www.cipf.ca