Manager, RJLU Compliance

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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.

Manager, RJLU Compliance

How does the role impact the organization?

Reporting to the Chief Compliance Officer (CCO) of Raymond James (USA) Ltd. (RJLU), the Manager is responsible for all aspects of compliance oversight 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 is responsible for collaborating with the CCO to manage RJLU's compliance program to meet obligations required by regulations and the business unit.

The Manager will be responsible for supporting all aspects of U.S. retail and institutional compliance for RJLU. This will involve working closely with various members of the compliance and legal teams at Raymond James Ltd. and Raymond James Financial to dispense advice and provide regulatory guidance to financial advisors and Equity Capital Markets (ECM) teams. The Manager is also responsible for being a people leader of a small compliance team, leading various optimization initiatives, as well as maintaining, updating and drafting policies and procedures with respect to controls and processes.

The Manager is expected to be registered as a principal, participate in the day-to-day functions carried out by the team, lead and manage projects resulting from regulatory change and generally support the implementation of the 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 (SEA) and the Investment Advisers Act of 1940;
• Enhance and optimize the retail and ECM Branch Inspections program through collaboration with Canadian and US affiliates and the implementation of sweeps.
• Assist with Rule 15a-6 of the SEA, which relates to sales into the US and chaperoning of foreign analysts and bankers.
• In conjunction with the CCO, respond to regulatory Requests for Information and participate in FINRA and SEC examinations as well as internal audits;
• Manage all customer complaints and internal investigations; where required engage the requisite legal and dispute resolution teams;
• Engage with US affiliates on marketing content and review processes to provide guidance to the field and ensure organizational alignment.
• Assist in the implementation of significant regulatory changes and ensure effective communication with stakeholders through Compliance Bulletins and Written Supervisory Procedures, among others;
• Manage the day-to-day escalations from the RJLU compliance team and provide curated advice to both the compliance and financial advisory teams; and
• Be responsible for training, coaching and developing direct reports.

What can you expect from us?

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.

'',''!*!

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.

Manager, RJLU Compliance

How does the role impact the organization?

Reporting to the Chief Compliance Officer (CCO) of Raymond James (USA) Ltd. (RJLU), the Manager is responsible for all aspects of compliance oversight 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 is responsible for collaborating with the CCO to manage RJLU's compliance program to meet obligations required by regulations and the business unit.

The Manager will be responsible for supporting all aspects of U.S. retail and institutional compliance for RJLU. This will involve working closely with various members of the compliance and legal teams at Raymond James Ltd. and Raymond James Financial to dispense advice and provide regulatory guidance to financial advisors and Equity Capital Markets (ECM) teams. The Manager is also responsible for being a people leader of a small compliance team, leading various optimization initiatives, as well as maintaining, updating and drafting policies and procedures with respect to controls and processes.

The Manager is expected to be registered as a principal, participate in the day-to-day functions carried out by the team, lead and manage projects resulting from regulatory change and generally support the implementation of the 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 (SEA) and the Investment Advisers Act of 1940;
• Enhance and optimize the retail and ECM Branch Inspections program through collaboration with Canadian and US affiliates and the implementation of sweeps.
• Assist with Rule 15a-6 of the SEA, which relates to sales into the US and chaperoning of foreign analysts and bankers.
• In conjunction with the CCO, respond to regulatory Requests for Information and participate in FINRA and SEC examinations as well as internal audits;
• Manage all customer complaints and internal investigations; where required engage the requisite legal and dispute resolution teams;
• Engage with US affiliates on marketing content and review processes to provide guidance to the field and ensure organizational alignment.
• Assist in the implementation of significant regulatory changes and ensure effective communication with stakeholders through Compliance Bulletins and Written Supervisory Procedures, among others;
• Manage the day-to-day escalations from the RJLU compliance team and provide curated advice to both the compliance and financial advisory teams; and
• Be responsible for training, coaching and developing direct reports.

What can you expect from us?

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.

'',''!*!

What do we expect from you?

Knowledge, Skills and Abilities

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; and
• Operational nuances resulting from operating as a registered Broker Dealer and Registered Investment Advisor, outside of the US.

Skill in

• Verbal, written and interpersonal communication; and
• Distilling regulatory changes into short, clear messages.

Ability to

• Analyze and understand the complexities of various compliance, operational, and business processes to ensure policies will have the intended effect and can be deployed with minimal disruption to work flows;
• 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; and
• Pay attention to detail.

Educational/Previous Experience Requirements

• Minimum of 5 years of experience in the financial industry, at least 3 specifically in supervisions/compliance;
• Professional education in relevant field with graduate training preferred, e.g. MBA, JD/LLB, CFA, etc.
• Have at least two years' experience in managing a team;
• Experience in dealing with regulators; and
• Experience in dealing with auditors.

Licenses/Certifications

• Have completed the (legacy) CSC and CPH with CSI; or the Canadian Investment Regulatory Exam (CIRE) and Retail Securities Exam (RSE) under the new proficiency requirements of the Canadian Investment Regulatory Organization
• Have completed the Series 7, Series 9&10 or 24, as well as Series 63 examinations and are US registered or willing to take/re-take exams if not current.

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: $95,000 - 110,000 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.

'',''!*!

What do we expect from you?

Knowledge, Skills and Abilities

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; and
• Operational nuances resulting from operating as a registered Broker Dealer and Registered Investment Advisor, outside of the US.

Skill in

• Verbal, written and interpersonal communication; and
• Distilling regulatory changes into short, clear messages.

Ability to

• Analyze and understand the complexities of various compliance, operational, and business processes to ensure policies will have the intended effect and can be deployed with minimal disruption to work flows;
• 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; and
• Pay attention to detail.

Educational/Previous Experience Requirements

• Minimum of 5 years of experience in the financial industry, at least 3 specifically in supervisions/compliance;
• Professional education in relevant field with graduate training preferred, e.g. MBA, JD/LLB, CFA, etc.
• Have at least two years' experience in managing a team;
• Experience in dealing with regulators; and
• Experience in dealing with auditors.

Licenses/Certifications

• Have completed the (legacy) CSC and CPH with CSI; or the Canadian Investment Regulatory Exam (CIRE) and Retail Securities Exam (RSE) under the new proficiency requirements of the Canadian Investment Regulatory Organization
• Have completed the Series 7, Series 9&10 or 24, as well as Series 63 examinations and are US registered or willing to take/re-take exams if not current.

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: $95,000 - 110,000 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.

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