OverviewRaymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.Senior Compliance Officer, Product Risk – 12 Month Contract.How does the role impact the organization?Raymond James Ltd. is Canada’s leading full-service independent investment dealer, providing high quality investment products and services to Canadians seeking customized solutions. We are seeking a highly qualified Senior Compliance Officer to join our team. In this role, you will play a critical part in ensuring the firm’s compliance with industry regulations and internal policies. You will perform day-to-day tasks related to product and security risk, maintain compliance standards, support departmental reporting, and provide guidance through the compliance help desk.ResponsibilitiesProduct and Security RiskExecute daily responsibilities related to product and security risk in accordance with internal policies and established frameworks.Conduct periodic adjustments, override reviews, and assist the Manager or Senior Manager with refinements to risk frameworks, rating logic, and breakpoints.Provide compliance monitoring for exempt funds, non-brokered private placements, structured notes, broker warrants, and other products,



including ad hoc reviews as requested.Maintain data feeds and manage onboarding processes for new products.Perform annual and ongoing risk assessments for Separately Managed Accounts (SMAs), Pooled Funds, and other investment products.Reporting, Audits and Risk AssessmentsAssist the Manager or Senior Manager in preparing reports for management meetings, operating groups, and board presentations.Support compliance risk assessments, audits, and regulatory examinations.Contribute to policy and procedure development, regulatory summaries, analytical projects, compliance presentations, and filing requirements with regulatory bodies such as the BCSC and OSC.Security Risk Monitoring, Suitability Assessment and Portfolio SupervisionConduct security risk rating analysis and adjustments, Know Your Product (KYP) assessments, and product risk evaluations.Perform transaction monitoring, option reviews, suitability assessments, and approvals.Review Net Asset Value (NAV) calculations, marketing materials, and performance reports to ensure compliance.Provide support for advice and pre-approval requests from Associate Portfolio Managers, Solus Trust, and the Charitable Foundation.Approve trade corrections, marketing requests, and recent

📌 Senior Compliance Officer, Product - 12 Month Contract (Toronto)
🏢 Raymond James
📍 Toronto