Account Transfer Associate

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. Account Transfer Associate How does the role impact the organization? The Account Transfers department within Operations is responsible for processing and overseeing all external asset transfers for client accounts. The group facilitates the movement of assets between financial institutions, including dealer-to-dealer transfers, transfers to and from banks, credit unions, insurance companies, and mutual fund companies. The team also manages charitable donations and gifts of securities in kind to registered charities. The department is accountable for ensuring all transfers are completed accurately, efficiently, and in compliance with applicable regulatory requirements, including CRA and CIRO regulations, internal policies, and industry standards. By coordinating with clients, advisors, financial institutions, and internal stakeholders, the team delivers a seamless transfer experience while safeguarding client assets and maintaining high service standards. What will your role be responsible for? Process account transfers accurately and efficiently between financial institutions. Review transfer requests to ensure completeness and compliance with regulatory requirements. Verify client documentation and account information before initiating transfers. Coordinate with internal teams, custodians, advisors, and external institutions to facilitate transfers. Monitor the status of transfers and follow up on outstanding items to ensure timely completion. Identify transfer-related issues, discrepancies, and exceptions. Maintain accurate records and identify client account information in company systems. Respond to inquiries from clients, advisors, and business partners regarding transfer status and requirements. Prepare and distribute transfer-related reports and documentation as required. Support audits, compliance reviews, and operational risk management activities as required. Assist with asset movement requests, including cash, securities, and registered account transfers. Meet established service level agreements (SLAs) and productivity targets. Provide exceptional client service while handling sensitive financial information confidentially. Ensure adherence to company policies, and compliance standards. Maintain a strong working knowledge and adherence of Canada Revenue Agency (CRA) and Canadian Investment Regulatory Organization (CIRO) rules, regulations, and guidelines related to account transfers, registered plans, and asset movements; ensure all transfers are processed accurately, compliantly, and in accordance with applicable regulatory requirements. Identify process improvement opportunities to enhance efficiency and client experience. 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? A minimum of 2 years of industry-related experience in wealth management, securities operations, banking, or a related financial services environment. A post-secondary degree in Finance, Economics, Business Administration, Business Operations, or a related field is preferred. Strong knowledge of financial concepts, investment products, and industry practices and procedures related to account transfers and asset movement. Knowledge of the various types of registered and non-registered accounts in Canada, including RRSPs, RRIFs, TFSAs, RESPs, FHSAs, LIRAs, and other investment account structures. Understanding of applicable CRA and CIRO regulations as they relate to account transfers, registered plans, and client asset movements. Previous experience with CDS and Arrow, including ATON and CDSX processing, as well as other industry systems such as DTC and FundSERV. Experience using Dataphile or similar back-office platforms (e.g., ADP, ISM, Broadridge, or equivalent systems) in relation to account transfers and securities operations. Proficiency with ServiceNow for workflow management, case tracking, and operational support activities. Proficiency with Zoom and other virtual collaboration tools for meetings, training, and stakeholder communication. Advanced proficiency in the Microsoft Office Suite, particularly Excel, including the ability to work with large datasets, perform data analysis, create reports, and utilize functions and formulas effectively. Ability to work effectively within strict deadlines in a high-volume, fast-paced environment while maintaining exceptional accuracy and attention to detail. Strong organizational, analytical, and problem-solving skills with the ability to manage multiple priorities simultaneously. Excellent written and verbal communication skills, including professional email, videoconferencing, and telephone etiquette, along with strong relationship management abilities. A collaborative mindset with a commitment to delivering a high level of service to clients, advisors, and internal stakeholders. 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: $55,000 - 65,000 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 [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. 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.

The Account Transfer Associate processes and oversees external asset transfers between financial institutions while ensuring compliance with regulatory requirements. They coordinate with internal and external stakeholders to maintain accurate records and provide exceptional client service.

Candidates must have at least 2 years of experience in wealth management, securities operations, or banking. A post-secondary degree in Finance, Economics, or Business is preferred, along with strong knowledge of Canadian investment account structures and regulatory standards.

• Health Benefits • RRSP Matching Program • Employee Stock Purchase Plan • Paid Time Off • Volunteer Days • Discretionary Bonuses • Tuition Reimbursement

• Résolution de problèmesSouhaitée
• Regulatory ComplianceSouhaitée
• Securities OperationsSouhaitée
• Analyse de donnéesSouhaitée
• Microsoft ExcelSouhaitée
• CommunicationSouhaitée

Relevées dans la description du poste. Confirmez les exigences importantes ci-dessus.

• Account Transfers
• Securities Operations
• Wealth Management
• Regulatory Compliance
• CRA Regulations
• CIRO Regulations
• Data Analysis
• Microsoft Excel
• ServiceNow
• Dataphile
• CDS
• Arrow
• FundSERV
• Relationship Management
• Problem-solving
• Communication
• Compliance Auditing
• Stakeholder Communications
• Industry Standards
• Business Operations
• Workflow Management
• Time Off Management
• Zoom (Video Conferencing Tool)
• Asset Transfers
• Service Standards
• Artificial Intelligence
• Business Administration
• Investments
• Decision Making
• Customer Service
• Economics
• Finance
• Equities
• Financial Services
• Problem Solving
• Microsoft Office
• Operational Risk Management
• Operations
• Telephone Skills
• Service-Level Agreement
• Verbal Communication Skills
• Video Conferencing
• Virtual Collaboration
• Securities (Finance)
• Process Improvement
• Coordinating
• Detail Oriented

• Finance & Accounting
• Administrative
• Customer Service & Support
• Management & Leadership
• Transfer Associate
• Unclassified Specialized Occupation

Formation minimale

Baccalauréat

Expérience minimale

2+ ans

Langue de l’offre

anglais

Heures de travail

40 heures par semaine