Associate, Regulatory Affairs and Reporting - 8 Month Contract

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.

Associate, Regulatory Affairs and Reporting

Part time contract

How does the role impact the organization?

Raymond James Ltd. is seeking an Associate, Regulatory Affairs and Reporting to join our team on a part-time basis for a duration of eight (8) months. This role will be a minimum of 2 days in office a week.

Reporting to the manager, Regulatory Affairs and Reporting, you will be primarily responsible for process improvements, monthly regulatory affairs clearinghouse processes, Compliance policy database maintenance, communication drafting, internal website content maintenance and preparation of updates and summary for the manager. You will also work closely with the other compliance managers on various tasks and projects within the department.

What is the position responsible for?

• Review processes and provide improvement suggestion to Manager and AVP – Regulatory Affairs and Reporting.
• Support the coordination and execution of small-scale projects, ensuring timely delivery of key milestone.
• Update and maintain the Compliance Policy database in accordance with RJL and enterprise requirements, including tracking policy expiration dates.
• Conduct initial review of submitted policy documents to ensure completeness.
• Develop clear and concise communication for internal and external purposes with different types of audiences via various communication channels.
• Compile submission and conduct comprehensive review of Regulatory Clearinghouse process.
• Prepare, review, edit and finalize output package for Regulatory Clearinghouse process.
• Provide summaries and recommendations to manager and AVP – Regulatory Affairs and Reporting regarding project and process progress.
• Collaborate with other teams and departments on various tasks and projects.
• Other tasks as needed.
  
  

What can you expect from us?

Our most important investment is in people, 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.

Qualifications

• Bachelor’s degree in Business or related fields, an MBA or other graduate degree is an asset.
• Certifications such as CSC, CPH, PMP, Six Sigma, CFA or FRM are highly regarded.
• Project management or process improvement certifications or experiences is an asset.
• Strong organizational skills with excellent attention to detail.
• Be proficient with MS Office (focusing on Excel, Word, Outlook and PowerPoint).
• Strong oral and written communication skills with the ability to work independently and collaboratively.
• Demonstrate professionalism in email, videoconferencing, and telephone communications, with effective relationship management 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 [email protected]. 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

Compliance

Primary Location

CA-ON-Toronto-Toronto

Organization

Compliance

Schedule

Part-time

Status

Temporary Part-Time