Branch Compliance Supervisor Jobs Vacancy in Raymond James Calgary
Raymond James Calgary urgently required following position for Branch Compliance Supervisor. Please read this job advertisement carefully before apply. There are some qualifications, experience and skills requirement that the employers require. Does your career history fit these requirements? Ensure you understand the role you are applying for and that it is suited to your skills and qualifications.
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Branch Compliance Supervisor Jobs Vacancy in Raymond James Calgary Jobs Details:
Raymond James Ltd. is seeking a qualified Branch Compliance Supervisor to work in our Calgary office. 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. Reporting to the Vice President, Tier 1 Compliance Supervision, you will be primarily responsible for the monitoring of retail account activity. You will be responsible for resolving, controlling, reporting and escalating issues that require contact with Financial Advisors and branch administrative staff to implement corrective actions, as well as ensuring compliance with the firm’s policies and procedures as well as industry regulations. You will perform Tier 1 supervision as a participant in a team involved in ongoing trade reviews and other related compliance oversight functions. You and your team will respond to requests from Financial Advisors and branches on various compliance issues. In addition, this position will be responsible for the supervision of retail sales activities of specific IAS Branch Offices and Financial Advisors. The branches under the supervision of the Supervisor are delegated by the Vice President responsible and will be subject to change to meet business needs. Success in this position will require supporting Financial Advisors in adhering to regulatory requirements and Raymond James Ltd. policies. Enthusiastic engagement in performing the required functions along with a strong commitment to the firm and the IAS Compliance Supervision team are also required to meet job expectations. The ideal candidate will have at least 5 years’ experience within the securities industry with a minimum of two years in a supervisory capacity and completed the requisite CSI courses that enabled current or recent (last 2 years) IIROC registration as a Supervisor (Branch Manager) including Options Supervision. U.S. series 7, 4, 24 and 66 licenses are highly desirable. Specifically you will: Supervision
Daily, weekly and monthly review of transactions and all other retail activity generated by IAS Branches with the purpose of detecting violations of IIROC Rule 2500 and IIROC Uniform Market Integrity Rules.
Escalate extraordinary issues requiring enhanced scrutiny discovered during reviews to the department Vice President/Branch Manager.
Review, approve or reject and discuss the issues that resulted in the rejection with agent or the associate responsible for trade and error corrections, new account applications and
material updates to existing accounts, advertising materials including co-op advertising, co- branding and other sales communications.
Maintain a working knowledge of the industry and AML rules and regulations as well as RJL policy and procedures by reading regulatory bulletins and notices as well as internal bulletins and policy and attending or completing industry and internal courses or conferences that would also fulfill your Continuing Education requirements on a timely basis.
Provide back-up for IAS Branch Managers or Financial Advisors that are absent from work because of emergencies, illness and vacation.
The ideal candidate for this opportunity will possess many of the following attributes and accreditations:
Minimum 5 years’ experience within the securities industry with a minimum of two years in a supervisory capacity;
Requisite CSI course completion that enabled registration as an IIROC Supervisor (Branch Manager) including Options Supervision within the last 2 years;
US Series 7, 4, 24 and 66 licenses are highly desirable;
Experience supervising activity in complex products, including non-brokered private placements, leveraged exchange traded funds, principle protected notes, hedge funds, segregated funds and other illiquid securities to determine investor suitability;
Familiar with Dataphile, DST Regulatory Surveillance Manager, Thompson ONE, Market Q;
Excellent proficiency with MS Office particularly Word, Excel and Outlook;
Excellent verbal and written communication skills;
The ability to take initiative, determine priorities and work with minimal supervision as well as ensure deadlines are met;
An analytical mindset with the ability to accurately assess complex situations;
Strong investigation skills and the ability to find solutions;
Keen attention to detail;
Strong organizational, multi-tasking and prioritizing skills;
Well-developed, proven customer service and interpersonal skills;
Excellent understanding of group dynamics;
Proven leadership and coaching skills;
Demonstrated ability to remain objective, tactful and diplomatic during conflicts;
Strong customer service orientation;
The ability to work effectively both in a team environment as well as independently. This is a full-time position with a competitive compensation and benefits package. If you would like to join our team, please send a resume and covering letter, quoting the position and Job Posting # 18-044 by February 23, 2018 to: Human Resources Raymond James Ltd. E-mail: email@example.com
To be considered for employment candidates will be required to provide proof of citizenship, permanent residency or eligibility to work in Canada with no restrictions. We require applicants to complete a background verification process prior to commencing employment with the company, including but not limited to a credit and criminal record check. Employment is contingent on the satisfactory completion of a pre-employment background check.
We sincerely thank all applicants who express an interest in this role: only those being directly considered will be contacted. Raymond James Ltd. recognizes the value of a diverse workforce and appreciates the unique skills and special contribution of each employee. We are committed to accessibility for candidates through all stages of the recruitment process. Should you require accommodation, please contact Human Resources via email at firstname.lastname@example.org.