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Branch Compliance Supervisor

Responsible for monitoring retail account activity for compliance with governing regulations and internal policies. Provides regulatory guidance and support to Financial Advisors and manages relationships.

Key Responsibilities

- Conduct Tier 1 daily and monthly reviews of transactions in accordance with CIRO minimum standards and RJL policies and procedures.
- Identify and resolve or escalate any areas of non‑compliance.
- Review and approve client account applications and updates; 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.
- Contribute to internal department initiatives and other projects as requested.

What we offer

Flexible workstyles, competitive compensation and benefits package including health benefits, RRSP matching program, employee stock purchase plan, paid time off, volunteer days, discretionary bonuses, tuition reimbursement and more. Supports internal promotion and community involvement.

What we expect

Knowledge and skills:

- Fundamental investment concepts, practices, and procedures used in the securities industry.
- Regulatory AML/ATF compliance, risk management disciplines and best practices.
- Experience with DATAPhile, Risk & Compliance Intelligence Platform, FactSet, and Market Q highly desirable.

- Client service and relationship management.
- Analytical thinking and critical reasoning.
- Microsoft Office (Excel, macros, VBAs) highly desired; Power BI, Power Query, Power Apps, Power Automate highly desired; SQL and database skills highly desired.





- Work within deadlines in a high‑volume environment with high service and attention to detail.
- Advanced face‑to‑face, email, videoconferencing and phone etiquette and relationship management skills.
- Tact and discretion in handling confidential information.
- Proficiency in French is an asset.

Education, Experience & Licenses

- 5 years experience at a broker dealer in a compliance function, including at least 2 years of relevant experience with a dealer member or equivalent experience acceptable to CIRO.
- Proficiency requirements necessary for CIRO Supervisor registration.

Proficiency courses:

- Canadian Securities Course (CSC)
- Conduct and Practices Handbook Course (CPH)
- Options Licensing Course (OLC) and Derivatives Fundamentals Course (DFC) or DFOL
- Investment Dealer Supervisors Course (IDSC)
- Options Supervisors Course (OPSC)

New proficiency requirements:

- Canadian Investment Regulatory Exam (CIRE)
- Retail Securities Exam (RSE)
- Experience with complex products including non‑brokered private placements, leveraged ETFs, principal protected notes, hedge funds, segregated funds and illiquid securities.

Salary

Salary range: $100,000–115,000 annually, plus competitive performance bonuses and incentives. Actual compensation determined based on skills, experience, internal equity and job requirements.

Equal Chance Employer Statement

Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. We honor, value, respect the uniqueness, experiences, and backgrounds of all associates. If you require accommodations, please contact Human Resources at

We may use automated or AI-enabled tools to support parts of our recruitment and screening process. These tools help us review applications efficiently but do not replace human decision-making.

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Apply on Kit Job: kitjob.ca/job/2fsn6v

📌 Branch Compliance Supervisor (Toronto)
🏢 Raymond James Financial
📍 Toronto