Apply on Kit Job: kitjob.ca/job/2fsn57

Oversee trade approvals and compliance as a Compliance Officer. Ensure adherence to policies and manage account reviews while acting as a resource for compliance inquiries.
In this pivotal role, you will report to the Senior Manager, Compliance, focusing on monitoring restricted securities and account management. You'll be responsible for trade corrections, social media supervision, and providing support on various compliance projects. Your position is key in guiding the compliance help desk and facilitating communication with sales staff for corrective actions.
Key Responsibilities:
• Monitor and approve trades in restricted accounts
• Respond to branch compliance inquiries
• Act as primary contact for New Account questions




• Approve trade corrections and escalations
• Conduct supervision of email and social media
Requirements:
• Experience in compliance within securities industries
• Completion of relevant compliance courses
• Proficiency in MS Office and Dataphile
• Superior communication and customer service skills
• Robust multi-tasking abilities under pressure
Make a significant impact on compliance efforts while facilitating smooth operations and the adherence to industry standards.
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Apply on Kit Job: kitjob.ca/job/2fsn57

📌 Trade Compliance Specialist (Toronto)
🏢 Raymond James
📍 Toronto