At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.

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

How does the role impact the organization?

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, robust relationship management skills, and the ability to analyze and comment on broader implications of regulatory changes.

Essential Duties and Responsibilities

- 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; review and 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; and
- 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;
- Provide Supervisory coverage for other branches;
- Interview applicants for new supervisor positions;
- Assist senior Compliance and Supervision leaders with complex risk issues and team specific initiatives; and
- Respond to urgent matters with a view to minimizing impact.

What can you expect from us?

Our most key investment is in people. 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.

What do we expect from you?

To qualify for this opportunity you possess:

Knowledge of

- Investment concepts, practices, and procedures used in the securities industry;
- Advanced regulatory policies, discussion topics, and broad industry supervisory issues;




- Regulatory AML/ATF compliance, risk management disciplines and best practices; and
- Dataphile and FactSet are highly desirable.

Skill in

- Microsoft Office, particularly Excel, with a willingness and ability to learn new applications;
- Client service and relationship management;
- Analytical thinking and critical reasoning; and

Ability to

- Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail;
- Demonstrate advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills;
- Analyze, summarize, and discuss the impact of complex supervisory issues;
- Professionally present analysis of complex issues to senior management;
- Exercise tact and discretion in the handling of confidential information; and
- Communicate proficiently in French is highly desirable.

Educational/Previous Experience Requirements & Licenses/Certifications

- 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;
- The proficiency requirements necessary for registration as a CIRO Supervisor with options.

Under the legacy system this would, broadly, include:

- Canadian Securities Course (CSC),
- Conduct and Practices Handbook Course (CPH),
- Options Licensing Course (OLC) and Derivatives Fundamentals Course (DFC), or Derivatives Fundamentals and Options Licensing (DFOL),
- Investment De

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