Rjlu Compliance Officer - Toronto, Canada - Raymond James Financial

Raymond James Financial

Verified Company

Toronto, Canada

1 week ago

Posted by:

Sophia Lee

beBee Recruiter

Description

RJLU Compliance Officer

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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.

_RJLU Compliance Officer_

How does the role impact the organization?

Reporting to the Chief Compliance Officer of RJLU, the individual will primarily be responsible for leading various program and system enhancement initiatives and monitoring retail account activity for RJLU clients.

The individual will be tasked with reaching out to internal sales staff to resolve and implement corrective actions as well as ensuring compliance with the firm's policies & procedures and industry regulations.

In addition, the individual will act as a knowledgeable resource in assisting with internal compliance inquiries and issues.

What will your role be responsible for?

Support the Chief Compliance Officer (CCO) with trade review and compliance functions for retail branch accounts in Canada and the US;
Support the CCO with conducting branch reviews in addition to leading projects to implement surveillance tools and enhance policies and procedures;
Respond to requests from other RJLU branches on various compliance issues;
Participate in the performance of daily and monthly trade reviews pertaining to:
Penny Stocks;
Blue Sky;
Pro Accounts;
Restricted Securities; and
Attend weekly/monthly meetings;
Assist with writing policies/procedures and creating Continuing Education courses; and
Provide investigative 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?

Proficient in Microsoft Office particularly Word, Excel and Outlook;
The ability to Multitask efficiently;
Work well under tight time constraints;
An effective communicator that excels in oral and written communication

Education/Previous Experience

Minimum 2 years Compliance or related experience within the securities industry;
Previous experience with NetX360 is an asset; and
Previous regulatory, legal and/or project experience is an asset.

Licenses/Certifications

Successful completion of FINRA's SIE & Series 7 exam and willingness to complete the Series 24, if required.

Travel requirements

Ability to travel on an adhoc basis, when required.

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 Auditing & Compliance

Primary Location CA-ON-Toronto-Toronto

Other Locations CA-BC-Vancouver-Vancouver

Organization Compliance

Schedule Full-time

Status Permanent Full-Time