Join as a Compliance Branch Examiner to enhance compliance frameworks. Conduct branch reviews and develop educational resources while ensuring industry rule adherence.In this critical role, you support the Branch Review Program by conducting visits and collaborating with management. Your key responsibilities will include educating branch staff on compliance standards and drafting comprehensive reports. The position requires you to escalate serious compliance issues and contribute to sharpening the review processes across various业务线.Key Responsibilities:• Conduct detailed compliance branch reviews• Assist in policy drafting and technical improvements• Educate staff on compliance and regulatory matters• Prepare and recommend action plans in reports• Communicate escalated issues effectively to managementRequirements:• 5+ years’ experience in securities compliance• Minimum 2 years in a compliance role• Required industry certifications (CSC, CPH)• Preferred: Courses in Branch Management or Financial Planning• Time management skills and ability to travel extensivelyEnhance compliance practices through your expertise and support a culture of integrity and accountability.#J-18808-Ljbffr
Branch Compliance And Review Examiner
RAYMOND JAMES FINANCIAL
montreal (administrative region), montreal (administrative region)
Published 27 days ago
Report job