Job Description
- Account Transfer Associate
- 12 Month Contract (2600617) Account Transfer Associate
- 12 Month Contract
- 2600617 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. Account Transfer Associate
- 12 Month Contract The Account Transfers department within Operations is responsible for processing and overseeing all external asset transfers for client accounts. The group facilitates the movement of assets between financial institutions, including dealer-to-dealer transfers, transfers to and from banks, credit unions, insurance companies, and mutual fund companies. The department is accountable for ensuring all transfers are completed accurately, efficiently, and in compliance with applicable regulatory requirements, including CRA and CIRO regulations, internal policies, and industry standards. By coordinating with clients, advisors, financial institutions, and internal stakeholders, the team delivers a seamless transfer experience while safeguarding client assets and maintaining high service standards. Process account transfers accurately and efficiently between financial institutions. Review transfer requests to ensure completeness and compliance with regulatory requirements. Verify client documentation and account information before initiating transfers. Monitor the status of transfers and follow up on outstanding items to ensure timely completion. Maintain accurate records and identify client account information in company systems. Respond to inquiries from clients, advisors, and business partners regarding transfer status and requirements. Support audits, compliance reviews,



and operational risk management activities as required. Assist with asset movement requests, including cash, securities, and registered account transfers. Meet established service level agreements (SLAs) and productivity targets. Provide exceptional client service while handling sensitive financial information confidentially. Ensure adherence to company policies, and compliance standards. Maintain a strong working knowledge and adherence of Canada Revenue Agency (CRA) and Canadian Investment Regulatory Organization (CIRO) rules, regulations, and guidelines related to account transfers, registered plans, and asset movements; ensure all transfers are processed accurately, compliantly, and in accordance with applicable regulatory requirements. Identify process improvement opportunities to enhance efficiency and client experience. Our most important 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. A minimum of 2 years of industry-related experience in wealth management, securities operations, banking, or a related financial services environment. A post-secondary degree in Finance, Economics, Business Administration,



Business Operations, or a related field is preferred. Strong knowledge of financial concepts, investment products, and industry practices and procedures related to account transfers and asset movement. Knowledge of the various types of registered and non-registered accounts in Canada, including RRSPs, RRIFs, TFSAs, RESPs, FHSAs, LIRAs, and other investment account structures. Understanding of applicable CRA and CIRO regulations as they relate to account transfers, registered plans, and client asset movements. Experience using Dataphile or similar back-office platforms (e.g., ADP, ISM, Broadridge, or equivalent systems) in relation to account transfers and securities operations. Proficiency with ServiceNow for workflow management, case tracking, and operational support activities. Proficiency with Zoom and other virtual collaboration tools for meetings, training, and stakeholder communication. Advanced proficiency in the Microsoft Office Suite, particularly Excel, including the ability to work with large datasets, perform data analysis, create reports, and utilize functions and formulas effectively. Excellent written and verbal communication skills, including professional email, videoconferencing, and telephone etiquette, along with strong relationship management abilities. A team-oriented mindset with a commitment to delivering a high level of service to clients, advisors, and internal stakeholders. 55,000
- 65,000 annually, in addition to competitive performance bonuses/incentives. Actual compensation will be determined based on skills, experience, internal equity, and other job requirements. This posting is for an existing vacancy. When associates bring their best authe

📌 Account Transfer Associate (Vancouver)
🏢 Raymond James Financial
📍 Vancouver