Raymond James Financial, Inc

Senior Branch Compliance Supervisor

Raymond James Financial, Inc • $110K — $125K *
Finance & Insurance
8 - 10 years of experience
Job Overview by Ladders

Qualifications

  • 10 years of experience in a Compliance function at a broker dealer, including 2 years with a Dealer Member or equivalent experience.
  • Proficiency in CIRO registration requirements as a Supervisor with options.
  • Strong knowledge of investment concepts and practices within the securities industry.
  • Advanced understanding of regulatory policies, supervisory issues, and AML/ATF compliance best practices.
  • Experience with complex investment products, including non-brokered private placements and hedge funds.

Responsibilities

  • Conduct daily and monthly supervisory reviews of transactions per CIRO and internal policies.
  • Identify and escalate areas of non-compliance as necessary.
  • Review and approve client account applications and marketing materials.
  • Maintain up-to-date knowledge of industry regulations and internal policies.
  • Train new supervisors and assist with complex supervisory issues and policy changes.
  • Provide backup coverage for other branches as needed.
  • Contribute to departmental initiatives and projects.

Benefits

  • Flexible workstyles to support work-life balance.
  • Comprehensive health benefits package.
  • RRSP matching program for retirement savings.
  • Employee stock purchase plan to foster ownership.
  • Paid time off and volunteer days to encourage community involvement.
  • Tuition reimbursement for continuous learning opportunities.
Full Job Description
Senior Branch Compliance Supervisor

How does the role impact the organization?

The Senior Branch Compliance Supervisor will be responsible for monitoring retail account activity for compliance with governing regulations as well as internal policies and procedures. In addition to providing regulatory guidance and support to Financial Advisors, the Senior Branch Compliance Supervisor will be involved in more complex areas requiring in-depth technical knowledge, strong relationship management skills, and the ability to analyze and comment on broader implications of regulatory changes.

Essential Duties and Responsibilities

  • Conduct daily and monthly supervisory reviews of transactions in accordance with Canadian Investment Regulatory Organization (CIRO) requirements and RJL policies and procedures;
  • Identify, resolve, and or escalate any areas of non-compliance;
  • Review and approve client account applications and updates; 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 assigned.


Senior Level Duties and Responsibilities

  • Provide training for new supervisors;
  • Respond to policy and regulatory changes with a view to the impact to supervision, and update firm-wide supervision documentation/manuals;
  • Respond to queries and escalations around policy and procedure interpretation, client concerns, and complex or sensitive matters;
  • Provide Supervisory coverage for other branches;
  • Interview applicants for new supervisor positions;
  • Assist senior Compliance and Supervision leaders with complex risk issues and team specific initiatives; and
  • Respond to urgent matters with a view to minimizing impact.


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

  • Investment concepts, practices, and procedures used in the securities industry;
  • Advanced regulatory policies, discussion topics, and broad industry supervisory issues;
  • Regulatory AML/ATF compliance, risk management disciplines and best practices; and
  • Dataphile and FactSet are highly desirable.


Skill in

  • Microsoft Office, particularly Excel, with a willingness and ability to learn new applications;
  • Client service and relationship management;
  • Analytical thinking and critical reasoning; and
  • Attention to detail.


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 telephone etiquette and relationship management skills;
  • Analyze, summarize, and discuss the impact of complex supervisory issues;
  • Professionally present analysis of complex issues to senior management;
  • Exercise tact and discretion in the handling of confidential information; and
  • Communicate proficiently in French is highly desirable.


Educational/Previous Experience Requirements & Licenses/Certifications

  • 10 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: $110,000-125,000 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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