Job Description
Join Raymond James as a Branch Compliance Supervisor in Toronto, Ontario, and oversee compliance for retail accounts. Drive adherence to regulations while mentoring advisors.
As a full-time Compliance Supervisor, your key duties include reviewing transactions to ensure compliance with CIRO standards and guiding Financial Advisors. Strong relationship management and analytical skills will help you thrive in this important role.
Key Responsibilities:
• Conduct supervisory reviews of retail transactions
• Identify non-compliance and address issues effectively
• Review and approve client account applications
• Stay informed on industry regulations and policies
• Fulfill all CIRO Continuing Education requirements
Requirements:
• 5 years of Compliance experience in a broker dealer setting
• Knowledge of investment procedures and regulations
• Skilled in Microsoft Office, especially Excel
• Familiarity with SQL and compliance systems
• CIRO Supervisor qu...
As a full-time Compliance Supervisor, your key duties include reviewing transactions to ensure compliance with CIRO standards and guiding Financial Advisors. Strong relationship management and analytical skills will help you thrive in this important role.
Key Responsibilities:
• Conduct supervisory reviews of retail transactions
• Identify non-compliance and address issues effectively
• Review and approve client account applications
• Stay informed on industry regulations and policies
• Fulfill all CIRO Continuing Education requirements
Requirements:
• 5 years of Compliance experience in a broker dealer setting
• Knowledge of investment procedures and regulations
• Skilled in Microsoft Office, especially Excel
• Familiarity with SQL and compliance systems
• CIRO Supervisor qu...
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