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 Branch Examiner

How does the role impact the organization?

Raymond James Ltd. is seeking a Compliance Branch Examiner to assist with our Branch Review Program.

Reporting to the Senior Manager, Compliance Branch Reviews, you will be primarily responsible for conducting Compliance Branch visits and assisting with expansion of the Firm’s general Review program. This will include various responsibilities such as interaction with Head Office staff, testing, problem solving, conducting educational modules, and concisely escalating issues both verbally and in written format. Finally, the candidate will be required to work with Management to implement corrective actions by ensuring compliance with the Firm’s policies and procedures as well as industry regulations.

What will your role be responsible for?

• Conducting Branch Reviews
• Assist with drafting, developing and implementing policy & procedures and technical improvements for the Branch Review Program
• Educating Branch staff on relevant and current Compliance issues
• Preparing written reports, recommending required action plans, and conducting proper follow-up for Branch Reviews
• Escalating extraordinary issues discovered during examinations to Senior Management
• Assisting the Senior Manager, Compliance Branch Reviews with improving and updating the existing Review Program and plan.
• Contributing to the implementation and oversight of testing procedures for additional business lines such as Insurance, Trust Services, Tax Consulting and the Retirement & Financial Planning area. This may include opportunities for further specialization and certification.
• Maintaining a working knowledge of the industry, its rules and regulations as well as Raymond James Ltd. policies and procedures.

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:

• At least 5 years’ experience within the securities industry.
• Minimum 2 years in a Compliance capacity.
• Completion of required industry courses (CSC, CPH).
• Preferred courses: Branch Managers Course, Options Supervisors Course, Financial Planning & Life Insurance licensing.
• Bilingual in French and English is highly desirable.
• Valid driver’s license.
• Time management skills and the ability to work & travel independently on an extensive basis.
• Willingness to drive sizable distances to various Branch offices as needed.

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 recruitment@raymondjames.ca. 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) $73,000-78,000 in addition to competitive performance bonuses/incentives.