Branch Compliance Supervisor At Raymond James Toronto

Shape compliance standards with Raymond James as a Branch Compliance Supervisor in Toronto, Ontario. Monitor transactions, ensure adherence to regulations, and support Financial Advisors.

In this permanent full‑time role, you will oversee compliance activities for retail accounts at Raymond James Ltd. Your responsibilities will include conducting supervisory reviews, resolving compliance issues, and maintaining regulatory knowledge. Exceptional relationship management and analytical skills will be crucial for success.

Key Responsibilities

• Review transaction activity daily and monthly for compliance
• Identify and address non‑compliance issues proactively
• Approve client application updates and ensure accurate documentation
• Maintain up‑to‑date knowledge of RJL policies and regulations
• Fulfill CIRO Continuing Education requirements

Requirements

• 5 years experience in a Compliance role at a broke...