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.

Compliance Officer

Reporting to the Manager, Compliance, you will be primarily responsible for trade approvals, monthly account reviews and social media management. You will also be responsible for contacting sales staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations. In addition, you will play an active role in staffing the department’s "help desk" as a compliance resource person.

Monitor and approve trades in restricted securities and/or accounts

- Respond to requests from branches on various compliance issues
- Act as the primary contact person for questions pertaining to Recent Accounts and the restriction of document deficient accounts
- Approve trade corrections and various trade review escalations
- Conduct email and social media supervision
- Provide support as required on various compliance projects
- 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. Possess compliance or related branch/operations within the securities industries
- Be proficient with MS Office (focusing on Word, Excel and Outlook) and Dataphile
- Have a well-developed and proven customer service and interpersonal skills
- Have successfully completed Branch Manager, Options Licensing, Options Supervisors Courses or other CSI Courses (are definite assets)
- Possess legal and/or privacy diplomas (are an asset).

Salary Range: $72,000 - 85,000 annually, in addition to competitive performance bonuses/incentives. Actual compensation will be determined based on skills, experience, internal equity, and other job requirements. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture.

These tools help us review applications efficiently, but they do not replace human decision-making. Auditing & Compliance Full-time Permanent Full-Time #

📌 Compliance officer bilingue anglais H/F (Toronto)
🏢 Raymond James
📍 Toronto