Job Posting: Multiple Positions at Raymond James Ltd.

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IEC-BC is pleased to support employer partners registered on BC JobConnect by posting available jobs on our BC JobConnect blog. If you are an employer interested in posting a job in this space, feel free to reach out with relevant details at bcjobconnect@iecbc.ca.

COMPLIANCE OFFICER – Raymond James Ltd. (Vancouver, Toronto or Montreal)

Raymond James Ltd. is seeking a qualified Compliance Officer to work with their team. Raymond James Ltd. is Canada’s leading full-service independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Reporting to the Manager, Compliance, you will be primarily responsible for trade approvals, monthly account reviews and social media management. You will also be responsible for contacting sales staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations. In addition, you will play an active role in staffing the department’s “help desk” as a compliance resource person.

Specifically, you will:

  • Monitor and approve trades in restricted securities and/or accounts;
  • Respond to requests from branches on various compliance issues;
  • Act as the primary contact person for questions pertaining to New Accounts and the restriction of document deficient accounts;
  • Approve trade corrections and various trade review escalations;
  • Conduct email and social media supervision;
  • Provide support as required on various compliance projects; and
  • Execute other duties relevant to an IIROC Tier 2 supervisory role.

To qualify for this opportunity, you must:

  • Possess compliance or related branch/operations experience within the securities industry;
  • Have successfully completed the Canadian Securities and the Conduct and Practices
  • Handbook courses or agree to complete the courses within one year;
  • Be proficient with MS Office (focusing on Word, Excel and Outlook);
  • Have superior oral and written communication skills;
  • Have a well-developed and proven customer service and interpersonal skills;
  • Be a strong multi-tasker and have the ability to work under pressure;
  • Perform well independently and with a team;
  • Be proficient with Dataphile (preferred);
  • Have successfully completed Branch Manager, Options Licensing, Options Supervisors
  • Courses or other CSI Courses (are definite assets);
  • Possess legal and/or privacy diplomas (are an asset); and
  • Excellent command of the French language (mandatory to work in our offices in Montréal.)

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.

This is a permanent full-time position with a competitive compensation and benefits package. If you a BC JobConnect registrant interested in this position, please send an email to bcjobconnect@iecbc.ca indicating your interest as soon as possible, and we will inform you of the relevant application details. The application due date is February 5th, 2021.

SECURITIES ASSOCIATE – Raymond James Ltd. (Vancouver)

Raymond James Ltd. is seeking a qualified Securities Associate to work in their Vancouver office. 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. This position requires an ability to work in a high-volume, pressure-oriented environment. Inherent system deadlines require the successful candidate to possess very strong organizational and prioritization skills. Additionally, the ability to balance these significant challenges and interact well with others is essential. Specifically, you will:

  • Process physical stock certificate deposits (domestic and foreign securities) and perform related reconciliation duties;
  • Provide shareholder communication assistance for proxy votes and solicitation fees;
  • Effectively manage high risk tasks with competing priorities;
  • Support escalation and/or exception requests related to Securities Services functions;
  • Maintain internal control account master list and update as required, communicate changes to
  • impacted areas;
  • Perform month-end reconciliation and reporting duties;
  • Participate in department initiatives and projects; and
  • Other duties as assigned

To qualify for this opportunity you possess:

  • Minimum 3 years of financial industry or related experience;
  • Proficiency in Microsoft Office particularly Word and Excel;
  • Experience with industry related systems a definite asset;
  • Excellent verbal and written communication skills;
  • Strong organizational and effective time management skills;
  • Superior analytical and problem solving abilities;
  • Self-starter attributes, motivated and hardworking;
  • Professional with a positive “can-do” attitude; and
  • Ability to work in a dynamic team environment and demonstrate a friendly manner.

    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.

This is a full-time position with a competitive compensation and benefits package. If you are a BC JobConnect registrant interested in this position, please send an email to bcjobconnect@iecbc.ca indicating your interest as soon as possible, and we will inform you of the relevant application details. The application due date is February 5th, 2021.

ESTATE PROCESSING ASSOCIATE – Raymond James Ltd (Vancouver)

Raymond James Ltd. (RJL) is seeking a full-time Estate Processing Associate for their Vancouver downtown 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.

In this position you will be responsible for various service support and administrative duties relating to the overall recordkeeping and compliance of Estate and/or Trust accounts at our firm. Your work will entail daily interaction with our investment advisors and their sales assistants, along with various members of our Operations team. Specifically, you will be required to learn, keep apprised of, and participate in the administrative, compliance and service support needs of any combination related duties described below:

  • Manage incoming estate/trust notifications, including communicating/gathering all related
  • document submission requirements from our Canada-wide network of internal clients;
  • Provide ongoing service and represent the department as a key contact for related client
  • enquiries and/or account administration support;
  • Investigate and resolve, either individually or in conjunction with other members on our team,
  • any problems or errors which may occur;
  • Assist with maintaining/updating departmental procedure manuals as well as participate in the
  • ongoing training and development of the team around you; and
  • Other duties as assigned.

To qualify for this opportunity you possess:

  • Minimum of 2 years of financial industry or related administrative experience;
  • Minimum of 2 years of detailed administrative knowledge of estates/trusts is preferred;
  • Post-secondary education and completion of the Canadian Securities Course also beneficial;
  • Excellent verbal and written communication skills;
  • Self-motivated with a focus on detail, quality and exemplary customer-service;
  • Good organizational skills with the ability to prioritize; and
  • Experience using Broadridge Dataphile will be considered an asset.
  • This is a permanent full-time position with a competitive compensation and benefits package.

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 applicant 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.

This is a full-time position with a competitive compensation and benefits package. If you are a BC JobConnect registrant interested in this position, please send an email to bcjobconnect@iecbc.ca indicating your interest as soon as possible, and we will inform you of the relevant application details. The application due date is February 12th, 2021.

PCG FINANCIAL ANALYST (18- MONTH CONTRACT) – Raymond James Ltd. (Vancouver)

Raymond James Ltd. is seeking a Contract PCG Financial Analyst for their downtown Cathedral Place office. Raymond James Ltd. is one of Canada’s leading full-service independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Under the direction of the Chief Administrative Officer, Private Client Group (PCG), the PCG Financial Analyst is responsible for representing the group in firm wide sponsored projects. The role responsibilities are wide ranging and include providing monthly reports on a wide variety of business-related activities. These reports require a strong understanding of Excel and knowledge of Power Objects would be an asset. In addition, project duties may include participating in departmental project plans and reporting on project progress to management. This role also involves a central role in facilitating the PCG annual budget process.

Specifically, you will:

  • Prepare monthly reports and ad hoc analysis by extracting data from our Data Warehouse
  • (DW) or extract obtained from the DW.
  • Coordinating and assembly of the annual budget for the PCG.
  • Participate in business/systems requirement analysis which provide development,
  • enhancement and/or maintenance of various applications within PCG;
  • Interact with internal and external client groups, including business stakeholders, management,
  • IT specialists and vendors;
  • Assist in the design and implementation of new IT solutions to improve business efficiency and
  • productivity within PCG;
  • Prepare end user documentation as required;

To qualify for this opportunity, you possess:

  • Certificate in business analysis or commensurate qualifications and / or experience;
  • Canadian Securities Course would be an asset;
  • Minimum of 1-2 years’ experience in a financial analysis role with a similar scope of
  • responsibilities;
  • Experience in the financial services or brokerage industry is preferable;
  • Knowledge of Dataphile, Excel, Power Objects
  • Excellent interpersonal, written and verbal communication skills;
  • Advanced communication skills;
  • Experience with budgeting;
  • Excellent planning abilities;
  • Strong organizational skills;
  • Strong analytical and decision making skills;
  • Familiarity with Information Technology techniques and methodologies;
  • Demonstrated mastery of PC skills and software with advanced knowledge in the Microsoft
  • Office suite of products.

This is a temporary full-time position with a competitive compensation package. If you are a BC JobConnect registrant interested in this position, please send an email to bcjobconnect@iecbc.ca indicating your interest as soon as possible, and we will inform you of the relevant application details. The application due date is February 5th, 2021.