Compliance Intern - Toronto, Canada - Raymond James Financial, Inc.

Raymond James Financial, Inc.
Raymond James Financial, Inc.
Verified Company
Toronto, Canada

2 weeks ago

Sophia Lee

Posted by:

Sophia Lee

beBee Recruiter
Part time
Description

Compliance Intern - Part Time

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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 Intern - Part Time_

Please note - This part time position requires you to work 2 days per week

How does the role impact the organization?
Raymond James Ltd. is seeking a student intern to work with our team.

Raymond James Ltd.

is Canada's leading full-service independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.


Reporting to the AVP, Regulatory Affairs and Reporting, you will be primarily responsible for processes monthly regulatory affairs clearinghouse, Compliance policy database maintenance, bi-weekly communication writing, internal/external website content and maintenance and providing updates and summary to the AVP.

You will also work closely with the other compliance team members on various tasks and projects within the department.


What is the position responsible for?

  • Compile submission and conduct review of Regulatory Clearinghouse (Regulatory affairs and changes) process.
  • Prepare, review, edit and finalize output package for Regulatory Clearinghouse process.
  • Compile Compliance report, Board report and other reports, review and edit the submissions.
  • Update and maintain the Compliance Policy database according to RJL and enterprise requirements and policies expiration date.
  • Conduct first round of review and ensure completeness of policy documents submitted.
  • Assist with developing clear and concise communication for internal and external purposes with different types of audiences via various communication channels.
  • Maintain content on internal and external websites to reflect current regulatory and compliance information.
  • Provide summaries and recommendations for AVP
  • Regulatory Affairs and Reporting regarding project and process progress.
  • Collaborate with other teams and departments on various tasks and projects.
  • Other tasks as needed.

Qualifications

  • Currently enrolled in a postsecondary or graduate program in business, legal or related field;
  • Possess strong organizational skills;
  • Strong oral and written communication skills;
  • Have a keen eye for details;
  • Analytical, problemsolving, and decisionmaking skills
  • Be proficient with MS Office (focusing on Excel, Word, Outlook and PowerPoint);
  • Strong oral and written communication skills;
  • 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.


Job Compliance


Primary Location CA-ON-Toronto-Toronto


Organization Compliance


Schedule Part-time


Status Temporary Part-Time
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