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.

Senior Branch Compliance Supervisor The Senior

Branch Compliance Supervisor will be responsible for monitoring retail account activity for compliance with governing regulations as well as internal policies and procedures. In addition to providing regulatory guidance and support to Financial Advisors, the Senior Branch Compliance Supervisor will be involved in more complex areas requiring in-depth technical knowledge, solid relationship management skills, and the ability to analyze and comment on broader implications of regulatory changes. Conduct daily and monthly supervisory reviews of transactions in accordance with Canadian Investment Regulatory Organization (CIRO) requirements and RJL policies and procedures

- Identify, resolve, and or escalation any areas of non-compliance
- Review and approve client account applications and updates
- Maintain working knowledge of industry regulations and RJL policies and procedures
- Provide back-up coverage for other Branch Compliance Supervisors
- Contribute to internal department initiatives and other projects, as assigned.

Senior Level

Duties and Responsibilities Provide training for new supervisors

- Respond to policy and regulatory changes with a view to the impact to supervision, and update firm-wide supervision documentation/manuals
- Respond to queries and escalations around policy and procedure interpretation, client concerns, and complex or sensitive matters
- Assist senior Compliance and Supervision leaders with complex risk issues and team specific initiatives
- Respond to urgent matters with a view to minimizing impact. 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. Advanced regulatory policies, discussion topics, and broad industry supervisory issues
- Regulatory AML/ATF compliance, risk management disciplines and best practices
- Microsoft Office, particularly Excel, with a willingness and ability to learn new applications
- Client service and relationship management
- Demonstrate advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills
- Professionally present analysis of complex issues to senior management
- Communicate proficiently in French is highly desirable. 10 years experience at a broker dealer in a Compliance function, including two years of relevant experience working for a Dealer Member or such equivalent experience as may be acceptable to CIRO; ~ Canadian Investment Regulatory Exam (CIRE) Experience with complex products including non-brokered private placements, leveraged ETFs, principal protected notes, hedge funds, segregated funds and illiquid securities.

Salary Range: $110,000-125,000 annually, in addition to competitive performance bonuses/incentives. Actual compensation will be determined based on skills, experience, internal equity, and other job requirements. 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. These tools help us review applications efficiently, but they do not replace human decision-making. #

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