Lead compliance efforts at Raymond James as a Senior Branch Compliance Supervisor in Toronto, Ontario. Oversee regulatory reviews and ensure adherence to internal policies and procedures.
In this senior role, you will monitor retail account activity, providing essential regulatory guidance to Financial Advisors. Your expertise will help identify compliance issues and mentor new supervisors. Solid relationship management skills and an analytical mindset are key to tackling complex regulatory challenges.
Key Responsibilities:
• Conduct daily and monthly supervisory transaction reviews
• Identify and resolve areas of non-compliance
• Review client account applications and updates
• Maintain knowledge of industry regulations and firm policies




• Provide back-up coverage for other Compliance Supervisors
Requirements:
• 10 years experience in a broker dealer Compliance function
• In-depth knowledge of investment practices and regulatory policies
• Proficient in Microsoft Office, especially Excel
• Strong analytical thinking and relationship management skills
• Ability to communicate effectively in French is a plus
Utilize your extensive compliance expertise to enhance regulatory adherence at Raymond James in Toronto.
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📌 Senior Compliance Supervisor at Raymond James (Toronto)
🏢 Raymond James Financial
📍 Toronto