Raymond James Financial, Inc

Branch Compliance Supervisor

Raymond James Financial, Inc$100K — $115K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • 5+ years of experience in a compliance function within a broker-dealer, including 2+ years specifically with a Dealer Member.
  • Proficiency required for CIRO Supervisor registration with options.
  • Knowledge of investment concepts and compliance best practices including AML/ATF regulations.
  • Experience with software tools like Dataphile and Risk & Compliance Intelligence Platform.
  • Skilled in Microsoft Excel, with a focus on Macros/VBAs; proficiency in Microsoft Power BI and SQL is highly desirable.

Responsibilities

  • Conduct daily and monthly reviews of transactions to ensure compliance with CIRO and RJL standards.
  • Identify and escalate areas of non-compliance as needed.
  • Review and approve client account applications along with relevant documentation.
  • Keep updated on industry regulations and RJL policies.
  • Complete CIRO Continuing Education requirements on time.
  • Provide backup support for other Branch Compliance Supervisors as required.
  • Engage in department initiatives and projects as assigned.

Benefits

  • Flexible work styles to support work-life balance.
  • Comprehensive health and wellness benefits.
  • RRSP matching program to enhance retirement savings.
  • Employee stock purchase plan for investment opportunities.
  • Paid time off and volunteer days promoting community engagement.
  • Discretionary bonuses and tuition reimbursement for ongoing education.
Full Job Description
Branch Compliance Supervisor

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 Branch Compliance 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. (RJL) policies and procedures;
  • Identify and resolve or escalate any areas of non-compliance;
  • Review and approve client account applications and updates to account applications; review and approve advertisements, sales literature and correspondence;
  • Maintain working knowledge of industry regulations and RJL policies and procedures;
  • Fulfill CIRO Continuing Education requirements;
  • Provide back-up coverage for other Branch Compliance Supervisors; and
  • Contribute to internal department initiatives and other projects, as requested.


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.

Qualifications:

What do we expect from you?

To qualify for this opportunity you possess:

Knowledge of:

  • Fundamental investment concepts, practices, and procedures used in the securities industry;
  • Regulatory AML/ATF compliance, risk management disciplines and best practices; and
  • Dataphile, Risk & Compliance Intelligence Platform, FactSet, and Market Q are highly desirable.


Skills in:

  • Client service and relationship management;
  • Analytical thinking and critical reasoning;
  • Attention to detail;
  • Microsoft Office with focus on Excel, Macros and VBAs, highly desired;
  • Microsoft Power BI, Power Query, Power Apps and Power Automate, highly desired; and
  • SQL and ability to work with databases, highly desired.


Ability to:

  • Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail;
  • Demonstrate advanced face-to-face, email, videoconferencing and phone etiquette as well as relationship management skills;
  • Exercise tact and discretion in the handling of confidential information; and
  • Communicate proficiently in French is an asset.


Educational/Previous Experience Requirements & Licenses/Certifications

  • 5 years experience at a broker dealer in a Compliance function, including two years of relevant experience working for a Dealer Member or such equivalent experience as may be acceptable to CIRO;
  • The proficiency requirements necessary for registration as a CIRO Supervisor with options.


Under the legacy system this would, broadly, include:

  • Canadian Securities Course (CSC),
  • Conduct and Practices Handbook Course (CPH),
  • Options Licensing Course (OLC) and Derivatives Fundamentals Course (DFC), or Derivatives Fundamentals and Options Licensing (DFOL),
  • Investment Dealer Supervisors Course (IDSC), and
  • Options Supervisors Course (OPSC).


Under CIRO's new proficiency requirements, this includes:

  • Canadian Investment Regulatory Exam (CIRE)
  • Retail Securities Exam (RSE)
  • Derivatives Exam
  • Supervisor Exam
  • Experience with complex products including non-brokered private placements, leveraged ETFs, principal protected notes, hedge funds, segregated funds and illiquid securities.


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


Salary Range: $100,000-115,000 annually, in addition to competitive performance bonuses/incentives.

Actual compensation will be determined based on skills, experience, internal equity, and other job requirements.

This posting is for an existing vacancy.

About Raymond James Financial, Inc

The Raymond James Technology and Communications Investment Banking Group is a committed and thoughtful partner that provides a full range of investment banking services and best practices. The group is comprised of experienced professionals that have extensive investment banking expertise. They leverage the industry expertise of Raymond James' award-winning research department. The group focuses on key sectors within technology and communications including: communications software, communication towers, defense electronics, enterprise software, internet infrastructure services, homeland security, IT services, mobile technology, semiconductors, software-as-a-service, telecommunications equipment, telecommunications infrastructure and support services, and wireless & wireline telecommunications services. They take pride in a client-centric approach to M&A, with focus on delivering independent solutions that creates value for the long term. The outcome of this unique approach may be seen in the successful transactions of their clients, including over 80 public offerings totaling $17 billion and over 85 strategic advisory transactions totaling over $5 billion in value since 1998.

Raymond James Financial, Inc Careers

Join the vibrant team at Raymond James Financial, Inc, a leading financial services company where innovation, leadership, and professional growth are at the forefront of our operations. As a hub of diversity and expertise, Raymond James offers unparalleled job opportunities that propel your career to new heights. Work You’ll Do At Raymond James Financial, Inc, you’ll collaborate with some of the most talented professionals in the financial industry. Our team is dedicated to providing strategic financial solutions and advice to our clients, helping them achieve their financial goals while fostering economic growth. With a culture rooted in leadership and diversity training, Raymond James is the perfect place to enhance your skills and thrive professionally. Join our market-leading team to assist a diverse range of clients, from individuals to large corporations, in navigating their financial planning with precision and innovative strategies. Lead in a role where your expertise directly influences the success and stability of our clients' financial futures. Work with a dynamic team of advisors and experts who are committed to pushing the boundaries of the financial sector through continuous innovation and exceptional client service. Raymond James Financial, Inc Job Opportunities Introducing the Raymond James Career Development Program We are committed to nurturing talent through our comprehensive career development program designed to provide every employee—from interns to senior leaders—with the tools and training necessary for success. Whether you’re just starting out with an internship or you’re a seasoned professional, Raymond James offers career paths that align with your ambitions and skills. Do Innovative Work Join a company where innovation is part of the daily routine. At Raymond James Financial, Inc, you’ll engage with cutting-edge financial tools and resources that keep you ahead in the industry. Our commitment to technology and innovation ensures that we stay at the forefront of financial services. Be Part of a Great Team Experience a collaborative environment where teamwork and networking are encouraged. Our inclusive culture supports diversity and offers benefits that ensure the well-being of all team members. At Raymond James, you’re not just an employee; you’re part of a family that values your unique contributions and supports your professional journey. Future-Proof Your Career Advance your career with Raymond James, where opportunities for growth are abundant. Benefit from our industry-leading training programs and gain certifications that will elevate your professional standing. With a focus on career longevity and satisfaction, Raymond James ensures that your professional journey is as rewarding as it is successful. Explore Discover the various positions available at Raymond James Financial, Inc that match your skills and interests. We are continuously hiring across multiple disciplines, eager to welcome passionate, curious, and solution-driven team players. Stay Connected Join Our Team Search open positions at Raymond James Financial, Inc and find the perfect match for your career aspirations. Explore a range of opportunities from financial advising to corporate roles that align with your professional skills and goals. Keep Up to Date Stay informed with the latest career tips, insider perspectives, and industry-leading insights—all from the professionals who thrive at Raymond James. Job Alert Emails Customize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities waiting for you at Raymond James Financial, Inc. Join Raymond James Financial, Inc today and be part of a company that values innovation, leadership, and professional growth. Your future in the financial industry starts here.
Learn more about Raymond James Financial, Inc
Size
15,000 employees
Market Cap
$22.6 billion
Industry
Net Income
$862 million
5 Year Trend
+11.6%
Revenue
$8.3 billion
NASDAQ

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