Robert Lamarche Email & Phone Number

Vancouver, Bc, Ca

Downtown Vancouver

Raymond James is one of North America's leading full-service investment dealers with an extensive presence across Canada and the United States. Raymond James Ltd. is the Canadian subsidiary of Raymond James Financial, Inc. Established in 1962, our parent firm made its initial public offering in 1983 and is listed on the New York Stock Exchange using the ticker symbol RJF.Raymond James was founded on the principle of always putting the needs of clients first. Today, this principle remains the foundation on which we continue to build our company.In total, Raymond James has a network of approximately 10,400 associate worldwide, over 6,200 financial advisors in over 3,000 locations (United States, Canada and abroad) and key international centres, with more than 2.5 million individual clients and families. The firm also administers more than $410 billion in client AUA globally.

Montreal

Protected investors by performing risk assessments of investment dealers based on previous reviews, input from other departments and regulatory organizations, and the areas of principal risk. Helped broker dealers to rectify non-compliances with legal requirements by preparing clear and actionable reports and following up on issues raised Provided post-review assistance by making suggestions how Dealer Members could set up corrective processes which were affordable and minimally disruptive to their day-to-day operations

Montreal

Acted as Compliance Officer for the company's 140 Registered Representatives in Quebec. Liaised with and managed case-handling by external law firms of every litigation file involving Scotia McLeod and their registered representatives for Quebec. Conducted annual sales compliance examination for all 12 Quebec business locations

Montreal

Successfully put in place and led an Investigation team of 6 persons and created a process of weekly complaints review meetings and statistics for the entire department. Assessed written complaints concerning Approved Participants and their registered representatives and ensured the responses made were complete and appropriate. Ensured the training of all new investigators in the team and implemented standard files processes and a structured team operation.

Montreal

Implemented the minimum margin and capital requirements for all the Approved Participant of the Montreal Exchange.

Montreal

Efficiently managed all compliance matters for over 100 Registered Representatives and for the company's 12 business locations across Quebec, acting as legal advisor on compliance matters and duly completing all required daily and monthly supervision reports required by the regulators.

Montreal

Put in place an estate and financial planning service available to all the clients of the firm

Montreal

Successfully implemented and directed a team of 11 persons in the development and implementation of more than 5,000 standard requests to the Court.

Master'S In Notarial Studies

Bachelor'S In Law