About

• 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.
• Branch Manager, RJLU Supervision
• How does the role impact the organization?
• Reporting to the Head of Supervision, the Branch Manager (BM), depending on experience, will be responsible for all aspects of supervision as set out in the rules and regulations established by the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC) and the various U.S. state securities authorities. The individual will be responsible for collaborating with the team to ensure Raymond James (USA) Ltd.’s (RJLU) supervisory program meets the obligations required by regulations and those set out by the business unit.
• The BM will be responsible for supporting all aspects of U.S. retail supervision for RJLU. This will involve working closely with various members of the supervision, compliance and legal teams at RJLU, Raymond James Ltd. and Raymond James Financial to dispense advice and provide regulatory guidance to advisors and branch staff. The BM will also be responsible for leading various optimization initiatives, as well as maintaining, updating and drafting Written Supervisory Procedures (WSPs) with respect to controls and processes.
• The BM is expected to be registered as a principal, participate in day-to-day functions carried out by the team, lead and manage various supervisory process changes and generally support the supervisory program.
• What will your role be responsible for?
• Be able to navigate through different laws and regulations such as FINRA rules, the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940.
• Conduct daily, weekly, monthly and semi-annual reviews of transactions and other retail activity to ensure advisors’ compliance with firm policies and procedures as well as SEC and FINRA rules and regulations.
• Review and approve account opening documentation and material updates to existing accounts as well as trade and error corrections.
• Review and approve marketing and sales communications for content, branding standards and required disclosures.
• Communicate with advisors, both verbally and in writing, when there are transaction, account or marketing events to foster solid relationships.
• Assist other BMs with novel inquiries and provide coverage/assistance during time-off and volume spikes.
• Maintain knowledge of industry trends as well as firm policies and procedures by subscribing to regulatory news sources and reviewing updates to firm policies and procedures.
• Participate in process improvements, drafting and updating policies and procedures and drafting communication bulletins to inform the field of enhancements and changes.
• Complete required training assigned by the firm and regulatory bodies in a timely manner.
• Perform other duties as assigned.
• What can you expect from us?
• Our most important investment is in people. Upon eligibility, Raymond James Ltd offers 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?
• Knowledge of
• FINRA rules and regulations
• SEC rules and regulations, with a particular focus on requirements set out in the Investment Advisers Act of 1940
• Operational nuances resulting from operating as a registered Broker Dealer and Registered Investment Adviser, outside of the U.S.
• Skill in
• Verbal, written and interpersonal communication
• Distilling complex concepts into short, clear messages
• Ability to
• Remain objective, tactful and diplomatic if conflicts arise
• Establish and maintain effective and cooperative relationships amongst team members and throughout the firm
• Focus on providing effective solutions by keeping the clients’ best interests in mind
• Work independently
• Pay attention to detail
• Educational/Previous Experience Requirements
• Minimum 10 years experience in the securities industry, with at least five specifically in supervision or compliance
• Professional education in a relevant field with graduate training preferred, e.g. MBA, JD/LLB, CFA, etc.
• Licenses/Certifications
• Have completed the CSC and CPH with CSI
• Have completed the Series 7, 24 and 63 examinations and be U.S. registered, or willing to take/re-take exams if not current
• Series 4 and 53 are highly desired

We encourage our associates at all levels to

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm
• Salary Range: $120,000-140,000 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.
• At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

• Here at Raymond James we demonstrate our commitment to ensuring equal opportunities for all candidates. To request accommodations, candidates are instructed to contact Human Resources via email at recruitment@raymondjames.ca. By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.
• We may use automated or AI-enabled tools to support parts of our recruitment and screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently, but they do not replace human decision-making.