Oversee retail account compliance as a Branch Compliance Supervisor. Ensure adherence to regulations and assist Financial Advisors while fostering solid relationships within a fast-paced environment.
This role is pivotal in monitoring compliance with governing regulations and internal policies. You'll conduct daily and monthly reviews of transactions, identify non-compliance, and provide regulatory guidance. Strong relationship management and analytical skills are vital in this supervisory role, which holds significant responsibility in compliance risk management.
Key Responsibilities:
• Monitor retail account activity for compliance
• Conduct Tier 1 reviews as per standards
• Identify and resolve non-compliance issues
• Review and approve client applications and advertisements
• Maintain knowledge of industry regulations and standards
Requirements:
• 5 years in a compliance role at a broker-dealer
• Experience with CIRO regulations preferred
• Strong analytical and detail-oriented skills
• Proficiency in Microsoft Office and data tools
• Bilingual in French is an asset
Apply your extensive compliance knowledge to support regulatory frameworks and strengthen industry standards effectively.
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Apply on Kit Job: kitjob.ca/job/2g8rl0
📌 Retail Compliance Supervisor Position (Toronto)
🏢 Raymond James
📍 Toronto
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