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. Compliance Associate/Officer How does the role impact the organization? RJL is seeking a Compliance Associate/Officer for its subsidiary company Raymond James (USA) Ltd. (RJLU). The role will be based out of Montreal, Toronto or Vancouver. RJLU is a cross-border firm registered in the U.S. with the Securities Exchange Commission (SEC) as a Registered Investment Advisor and with Financial Industry Regulatory Authority (FINRA) as a Broker-Dealer. In Canada, RJLU operates under Exemptive Relief orders from the British Columbia and Ontario securities commissions. Reporting to the Manager, RJLU Compliance, the Compliance Associate/Officer will be responsible for the regulatory and administrative tasks encompassing both the Institutional and Private Client Group lines of business. This position requires background in compliance processes, with knowledge of FINRA/SEC rules and regulations to proactively build and support a strong regulatory control framework. The position interfaces with advisors, sales assistants, transfer agents, the firm’s custodian as well as RJLU’s home office staff, management and executive in addition to Legal and Finance. What will your role be responsible for? Daily, review transfers of low-priced, high-risk and restricted securities. Daily, generate exception reports to ensure compliance with various policies and procedures. Daily, monitor the Compliance inbox for queries from advisors and sales assistants. Review, approve and process requests for deposits of low-priced securities. Review, approve and process requests for physical security legend removals. Track incoming Canadian and U.S. dollar denominated checks and maintain requisite logs. Track physical security deposits and maintain requisite logs. Assist in portfolio reviews by pulling drift reports and tracking portfolio rebalancing. Assist in establishing and updating compliance policies to ensure compliance with U.S. laws and regulations. Assist in developing the Continuing Education program for the Institutional and Private Client Group lines of business. Conduct email supervision for the Private Client Group. Assist the CCO, Senior Manager and Manager with Ad Hoc tasks and projects. Attend team and firm meetings. Travel on an Ad-Hoc basis, if required. Participate in other tasks, as assigned. 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? To qualify for this opportunity you possess: Knowledge of MS Office and excellent proficiency with MS Outlook, Word, Excel and PowerPoint. Operations with a focus on certificate deposits, legend removals and security transfers. Regulatory and compliance processes. Pershing’s NetX360 system, desired. Skill in Organizing, multi-tasking, and prioritizing. Paying strong attention to detail. Ability to Build strong relationships. Manage competing priorities. Work on simultaneous projects. Communicate effectively both orally and in writing. Educational & Previous Experience Requirements Minimum 2-4 years years Compliance experience within the securities industry. Experience working for a U.S. broker-dealer or Canadian cross-border dealer highly desired. Successful completion of FINRA’s Securities Industry Essentials, Series 7 and Series 24 exams highly desired, or willingness to complete within a reasonable timeframe. Well-developed and proven customer service and interpersonal skills. 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 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. Salary Range: BC (based on Education, Work Experience, etc) $60,000-75,000 in addition to competitive performance bonuses/incentives. Job Auditing & Compliance Primary Location CA-ON-Toronto-Toronto Other Locations CA-BC-Vancouver-Vancouver, CA-QC-Montreal-Montréal Organization Compliance Schedule Full-time Status Permanent Full-Time
Location BC-Vancouver or Ontario-Toronto 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. Registration Associate How does the role impact the organization? Raymond James Ltd. is seeking a Registration Associate to join our team in either our Vancouver or Toronto offices. Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs. Reporting to the Senior Manager, Registrations, you will be primarily responsible in assisting with the processing of Canadian and US individual registrations and other regulatory licensing requirements. The candidate will have exposure to advisors and management at different levels. What will your role be responsible for? Work closely with Registrations Officers and Registrations Management on reports; Liaise with internal associates and Regulatory bodies, both verbally and in writing, and respond to ad-hoc queries; Key administrative support for department leads; Keep abreast of industry changes and requirements for registrations and Continuing Education; Assist in maintaining records for Continuing Education (CE); Assist in managing Errors & Omissions (E&O) liability applications; Assist in NRD reconciliations; Ad-hoc registrations and Compliance related projects; and Other duties as assigned. 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? Bilingual (French and English) is an asset Be proficient with MS Office (focusing on Word, Excel and Outlook); Have a well-developed and proven customer service and interpersonal skills; Be a strong multi-tasker and have the ability to work under pressure; Willingness to learn as the registrations program develops; Recognize inefficiencies and address accordingly; Analyze and make sound judgment decisions; Maintain a high level of customer service; Registration and/or Compliance experience preferable; and A financial industry or related administrative experience is an asset. 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 At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all 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 based on 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. Salary Range: BC (based on Education, Work Experience, etc) $50,000-57,500 addition to competitive performance bonuses/incentives.
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.
Compliance Associate/Officer
How does the role impact the organization?
RJL is seeking a Compliance Associate/Officer for its subsidiary company Raymond James (USA) Ltd. (RJLU). The role will be based out of Montreal, Toronto or Vancouver.
RJLU is a cross-border firm registered in the U.S. with the Securities Exchange Commission (SEC) as a Registered Investment Advisor and with Financial Industry Regulatory Authority (FINRA) as a Broker-Dealer. In Canada, RJLU operates under Exemptive Relief orders from the British Columbia and Ontario securities commissions.
Reporting to the Manager, RJLU Compliance, the Compliance Associate/Officer will be responsible for the regulatory and administrative tasks encompassing both the Institutional and Private Client Group lines of business.
This position requires background in compliance processes, with knowledge of FINRA/SEC rules and regulations to proactively build and support a strong regulatory control framework. The position interfaces with advisors, sales assistants, transfer agents, the firm’s custodian as well as RJLU’s home office staff, management and executive in addition to Legal and Finance.
What will your role be responsible for?
Daily, review transfers of low-priced, high-risk and restricted securities. Daily, generate exception reports to ensure compliance with various policies and procedures. Daily, monitor the Compliance inbox for queries from advisors and sales assistants. Review, approve and process requests for deposits of low-priced securities. Review, approve and process requests for physical security legend removals. Track incoming Canadian and U.S. dollar denominated checks and maintain requisite logs. Track physical security deposits and maintain requisite logs. Assist in portfolio reviews by pulling drift reports and tracking portfolio rebalancing. Assist in establishing and updating compliance policies to ensure compliance with U.S. laws and regulations. Assist in developing the Continuing Education program for the Institutional and Private Client Group lines of business. Conduct email supervision for the Private Client Group. Assist the CCO, Senior Manager and Manager with Ad Hoc tasks and projects. Attend team and firm meetings. Travel on an Ad-Hoc basis, if required. Participate in other tasks, as assigned.
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?
To qualify for this opportunity you possess:
Knowledge of MS Office and excellent proficiency with MS Outlook, Word, Excel and PowerPoint. Operations with a focus on certificate deposits, legend removals and security transfers. Regulatory and compliance processes. Pershing’s NetX360 system, desired.
Skill in Organizing, multi-tasking, and prioritizing. Paying strong attention to detail.
Ability to Build strong relationships. Manage competing priorities. Work on simultaneous projects. Communicate effectively both orally and in writing.
Educational & Previous Experience Requirements Minimum 2-4 years years Compliance experience within the securities industry. Experience working for a U.S. broker-dealer or Canadian cross-border dealer highly desired. Successful completion of FINRA’s Securities Industry Essentials, Series 7 and Series 24 exams highly desired, or willingness to complete within a reasonable timeframe. Well-developed and proven customer service and interpersonal skills.
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
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.
Salary Range: BC (based on Education, Work Experience, etc) $60,000-75,000 in addition to competitive performance bonuses/incentives.
Job
Auditing & Compliance
Primary Location
CA-ON-Toronto-Toronto
Other Locations
CA-BC-Vancouver-Vancouver, CA-QC-Montreal-Montréal
Organization
Compliance
Schedule
Full-time
Status
Permanent Full-Time
Location BC-Vancouver or Ontario-Toronto
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.
Registration Associate
How does the role impact the organization?
Raymond James Ltd. is seeking a Registration Associate to join our team in either our Vancouver or Toronto offices. Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.
Reporting to the Senior Manager, Registrations, you will be primarily responsible in assisting with the processing of Canadian and US individual registrations and other regulatory licensing requirements. The candidate will have exposure to advisors and management at different levels.
What will your role be responsible for?
Work closely with Registrations Officers and Registrations Management on reports;
Liaise with internal associates and Regulatory bodies, both verbally and in writing, and respond to ad-hoc queries;Key administrative support for department leads;Keep abreast of industry changes and requirements for registrations and Continuing Education;Assist in maintaining records for Continuing Education (CE);Assist in managing Errors & Omissions (E&O) liability applications;Assist in NRD reconciliations;Ad-hoc registrations and Compliance related projects; andOther duties as assigned.
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?
Bilingual (French and English) is an assetBe proficient with MS Office (focusing on Word, Excel and Outlook);Have a well-developed and proven customer service and interpersonal skills;Be a strong multi-tasker and have the ability to work under pressure;Willingness to learn as the registrations program develops;Recognize inefficiencies and address accordingly;Analyze and make sound judgment decisions;Maintain a high level of customer service;Registration and/or Compliance experience preferable; andA financial industry or related administrative experience is an asset.
We encourage our associates at all levels to:
Grow professionally and inspire others to do the sameWork with and through others to achieve desired outcomesMake prompt, pragmatic choices and act with the client in mindTake ownership and hold themselves and others accountable for delivering results that matterContribute to the continuous evolution of the firm
At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all 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 based on 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.
Salary Range: BC (based on Education, Work Experience, etc) $50,000-57,500 addition to competitive performance bonuses/incentives.
Wealth Advisor Assistant-2500158
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. Wealth Advisor Assistant How does the role impact the organization?The candidate is a self-motivated individual with exceptional administrative skills and a dependable nature. The candidate will bring to the role an ability to work within deadlines both independently and as part of a team, proven effective time management skills, and a focus on customer service.
As a key member of the team, contributions are important to the success of the client relationship with the Financial Advisor, and to the success of the Branch as a whole.
What will your role be responsible for?Prepare and review daily/monthly/annual reports, client correspondence and taking ownership of project work;Process and follow up on security transactions and transfers;Handle incoming and outgoing phone calls with clients;Foster and support client relationships by liaising with clients, responding to requests and proactive problem solving;Service clients’ general day-to-day requests;Maintain Financial Advisor files, calendar & expenses; andPerform general office duties.
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?To qualify for this opportunity you possess:Post-secondary education;IR Licensed or successful completion of Canadian Securities Course as well as the Conduct and Practices Handbook within 1 year of hire is preferable;Excellent proficiency with MS Office particularly Word, Excel and Outlook;Experience with Dataphile and FactSet is an asset;Excellent verbal and written communication skills;Ability to work in a team environment and demonstrate a professional and friendly mannerSuperior customer service skills;Meticulous attention to detail;Self-starter attributes, motivated and hardworking with the ability to prioritize, multitask, work within time constraints and provide necessary follow up;Strong organizational skills;Superior problem solving skills;The ability to work within deadlines in a high-volume, pressure-oriented environment; andAbility to effectively handle confidential information.
We encourage our associates at all levels to:Grow professionally and inspire others to do the sameWork with and through others to achieve desired outcomesMake prompt, pragmatic choices and act with the client in mindTake ownership and hold themselves and others accountable for delivering results that matterContribute to the continuous evolution of the firm
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.
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.
Senior Branch Administrator
How does the role impact the organization?The primary role of Senior Branch Administrator is to assist both the Branch Manager (BM) and Branch Compliance Supervisor (BCS) and ensure the Raymond James office is managed efficiently and effectively.
What is the position responsible for?Be the key point of contact regarding operational policies & procedures and workstation applications for support staff and advisors;Liaise with internal departments and external vendors/suppliers on behalf of the branch including Human Resources, Payroll and Finance;Hiring and training of support staff;Assist with branch event planning;Prepare and execute regular meetings for support staff;Engage in and summarize the monthly National Branch Administrator (BA) Calls with the Assistant Branch Administrator (ABA);Conduct bi-monthly Sales Assistant meetings with updates and changes announced during National BA Calls;Develop and maintain necessary records and controls for the BM in order to ensure efficient operation;Participate in Sales Assistant performance reviews;Assist BM/BCS in overall profitability of the branch;Support the ABA in processing cheque printing and deposits;Maintain a working knowledge of the industry and AML rules and regulations as well as RJL policies and procedures by reading regulatory bulletins, notices, internal bulletins and policy, and completing industry or internal courses that would fulfill your CE requirements on a timely basis;Assist with Professional Development and Compliance Credit questions;Backup reception duties, as needed; andOther duties as assigned.
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 of fundamental investment concepts, practices, and procedures used in the securities industry;Competent in the Canadian regulatory environment;Proficient in Microsoft Office with a willingness and ability to learn new applications;Excellent skills in client service, decision making, proactive thinking, and problem solving;The ability to work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail;Demonstrate advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills;Ability to assume numerous roles and responsibilities;Exercise tact and discretion in the handling of confidential information; andCommunicate proficiently in French is an asset.
Educational/Previous Experience RequirementsA minimum of 3-5 years in the Investment Brokerage or Financial Services Industry;Diploma or degree or an equivalent combination of experience education, and/or training;Previous Supervisory or Management experience is an asset.Licenses/CertificationsRegistered Representative licensing; andSuccessful completion of:the Canadian Securities Course; andthe Conduct and Practices Handbook.The Investment Dealer Supervisors Course (IDSC) is an asset.
We encourage our associates at all levels to:Grow professionally and inspire others to do the sameWork with and through others to achieve desired outcomesMake prompt, pragmatic choices and act with the client in mindTake ownership and hold themselves and others accountable for delivering results that matterContribute to the continuous evolution of the firm
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.
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.
Senior Operations Associate, Tax Preparation
How does the role impact the organization?
As a key member of the Tax Services team, the successful candidate must be highly organized, detail-oriented and self-motivated. As the role will include leading the Operation Associates as well as interactions with financial advisors and clients, the successful candidate must also display professional levels of verbal and written communication, be client-service driven and possess exceptional interpersonal skills.
What is the position responsible for?
Review, modify and prepare templates, letters, reports, PowerPoint presentations, Word documents, Excel workbooks and other correspondence materials; research, compile and summarize information/data ; Support leader(s) through calendar and email management ; Oversee Operations Associates and related processes; Administer invoicing, processing receivables and CRA remittances ; Service and oversee General Inbox of clients’ general day-to-day requests ; Communicate internally with various operational and administrative departments; Enter, review and maintain client accounts and contact information in the Client Relationship Management (CRM) platform and network drives (Microsoft Dynamics 365) Review upcoming deadlines and work requirements with the team; coordinate the logistics and flow of work to specific team members (i.e., documents for review/signature) ; Coordinate and schedule internal and external meeting and appointment logistics and prepare supporting material ; Maintain electronic filing systems ; Contribute to the development of new ideas and approaches to improve work processes ; Work collaboratively with other team members and leadership ; and Maintain flexibility to work overtime, as necessary
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?
Proficient in MS Office (Word, Excel, PowerPoint, and Outlook) ; Organizing, multi-tasking, and prioritizing ; Build strong relationship skills ; Manage competing priorities ; and Work on simultaneous projects; Excellent written and verbal communications skills
Educational/ Previous Experience Requirements
Post-secondary education in business administration is considered an asset ; Strong interpersonal skills with demonstrated focus on client service ; Exceptional verbal and written communication abilities ; 2+ years of increasingly complex administrative responsibilities in a previous professional services environment Experience in a public practice accounting firm is considered an asset ; and Excellent organizational and time management skills, with the ability to manage multiple tasks simultaneously
How to differentiate yourself from others:
Experience working with TaxPrep is an asset; and CRM (Customer Relationship Management) software is an asset;
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 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.
Salary Range: BC (based on Education, Work Experience, etc) $55,000-60,000 in addition to competitive performance bonuses/incentives.
Job DescriptionAt 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.
Senior Branch Administrator
How does the role impact the organization?The primary role of Senior Branch Administrator is to assist both the Branch Manager (BM) and Branch Compliance Supervisor (BCS) and ensure the Raymond James office is managed efficiently and effectively.
What is the position responsible for?Be the key point of contact regarding operational policies & procedures and workstation applications for support staff and advisors;Liaise with internal departments and external vendors/suppliers on behalf of the branch including Human Resources, Payroll and Finance;Hiring and training of support staff;Assist with branch event planning;Prepare and execute regular meetings for support staff;Engage in and summarize the monthly National Branch Administrator (BA) Calls with the Assistant Branch Administrator (ABA);Conduct bi-monthly Sales Assistant meetings with updates and changes announced during National BA Calls;Develop and maintain necessary records and controls for the BM in order to ensure efficient operation;Participate in Sales Assistant performance reviews;Assist BM/BCS in overall profitability of the branch;Support the ABA in processing cheque printing and deposits;Maintain a working knowledge of the industry and AML rules and regulations as well as RJL policies and procedures by reading regulatory bulletins, notices, internal bulletins and policy, and completing industry or internal courses that would fulfill your CE requirements on a timely basis;Assist with Professional Development and Compliance Credit questions;Backup reception duties, as needed; andOther duties as assigned.
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 of fundamental investment concepts, practices, and procedures used in the securities industry;Competent in the Canadian regulatory environment;Proficient in Microsoft Office with a willingness and ability to learn new applications;Excellent skills in client service, decision making, proactive thinking, and problem solving;The ability to work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail;Demonstrate advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills;Ability to assume numerous roles and responsibilities;Exercise tact and discretion in the handling of confidential information; andCommunicate proficiently in French is an asset.
Educational/Previous Experience RequirementsA minimum of 3-5 years in the Investment Brokerage or Financial Services Industry;Diploma or degree or an equivalent combination of experience education, and/or training;Previous Supervisory or Management experience is an asset.Licenses/CertificationsRegistered Representative licensing; andSuccessful completion of:the Canadian Securities Course; andthe Conduct and Practices Handbook.The Investment Dealer Supervisors Course (IDSC) is an asset.
We encourage our associates at all levels to:Grow professionally and inspire others to do the sameWork with and through others to achieve desired outcomesMake prompt, pragmatic choices and act with the client in mindTake ownership and hold themselves and others accountable for delivering results that matterContribute to the continuous evolution of the firm
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.
Job DescriptionLocation BC-Vancouver or Ontario-Toronto
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.
Registration Associate
How does the role impact the organization?
Raymond James Ltd. is seeking a Registration Associate to join our team in either our Vancouver or Toronto offices. Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.
Reporting to the Senior Manager, Registrations, you will be primarily responsible in assisting with the processing of Canadian and US individual registrations and other regulatory licensing requirements. The candidate will have exposure to advisors and management at different levels.
What will your role be responsible for?
Work closely with Registrations Officers and Registrations Management on reports;
Liaise with internal associates and Regulatory bodies, both verbally and in writing, and respond to ad-hoc queries;Key administrative support for department leads;Keep abreast of industry changes and requirements for registrations and Continuing Education;Assist in maintaining records for Continuing Education (CE);Assist in managing Errors & Omissions (E&O) liability applications;Assist in NRD reconciliations;Ad-hoc registrations and Compliance related projects; andOther duties as assigned.
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?
Bilingual (French and English) is an assetBe proficient with MS Office (focusing on Word, Excel and Outlook);Have a well-developed and proven customer service and interpersonal skills;Be a strong multi-tasker and have the ability to work under pressure;Willingness to learn as the registrations program develops;Recognize inefficiencies and address accordingly;Analyze and make sound judgment decisions;Maintain a high level of customer service;Registration and/or Compliance experience preferable; andA financial industry or related administrative experience is an asset.
We encourage our associates at all levels to:
Grow professionally and inspire others to do the sameWork with and through others to achieve desired outcomesMake prompt, pragmatic choices and act with the client in mindTake ownership and hold themselves and others accountable for delivering results that matterContribute to the continuous evolution of the firm
At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all 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 based on 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.
Salary Range: BC (based on Education, Work Experience, etc) $50,000-57,500 addition to competitive performance bonuses/incentives.
Job DescriptionAt 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.
Senior Operations Associate, Tax Preparation
How does the role impact the organization?
As a key member of the Tax Services team, the successful candidate must be highly organized, detail-oriented and self-motivated. As the role will include leading the Operation Associates as well as interactions with financial advisors and clients, the successful candidate must also display professional levels of verbal and written communication, be client-service driven and possess exceptional interpersonal skills.
What is the position responsible for?
Review, modify and prepare templates, letters, reports, PowerPoint presentations, Word documents, Excel workbooks and other correspondence materials; research, compile and summarize information/data ; Support leader(s) through calendar and email management ; Oversee Operations Associates and related processes; Administer invoicing, processing receivables and CRA remittances ; Service and oversee General Inbox of clients’ general day-to-day requests ; Communicate internally with various operational and administrative departments; Enter, review and maintain client accounts and contact information in the Client Relationship Management (CRM) platform and network drives (Microsoft Dynamics 365) Review upcoming deadlines and work requirements with the team; coordinate the logistics and flow of work to specific team members (i.e., documents for review/signature) ; Coordinate and schedule internal and external meeting and appointment logistics and prepare supporting material ; Maintain electronic filing systems ; Contribute to the development of new ideas and approaches to improve work processes ; Work collaboratively with other team members and leadership ; and Maintain flexibility to work overtime, as necessary
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?
Proficient in MS Office (Word, Excel, PowerPoint, and Outlook) ; Organizing, multi-tasking, and prioritizing ; Build strong relationship skills ; Manage competing priorities ; and Work on simultaneous projects; Excellent written and verbal communications skills
Educational/ Previous Experience Requirements
Post-secondary education in business administration is considered an asset ; Strong interpersonal skills with demonstrated focus on client service ; Exceptional verbal and written communication abilities ; 2+ years of increasingly complex administrative responsibilities in a previous professional services environment Experience in a public practice accounting firm is considered an asset ; and Excellent organizational and time management skills, with the ability to manage multiple tasks simultaneously
How to differentiate yourself from others:
Experience working with TaxPrep is an asset; and CRM (Customer Relationship Management) software is an asset;
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 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.
Salary Range: BC (based on Education, Work Experience, etc) $55,000-60,000 in addition to competitive performance bonuses/incentives.
