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.AML Compliance OfficerHow does the role impact the organization? As part of the Anti‑Money Laundering (AML) Client Intelligence Unit (CIU), you will be primarily responsible for daily Anti‑Money Laundering/Anti‑Terrorist Financing, Fraud and Sanctions (collectively, “Financial Crime Management (FCM)”) oversight and operational functions.What will your role be responsible for?Conduct appropriate client due diligence through the review of client background information, and review of securities transactions, as necessary.Conduct daily client name screening activities and daily remediation of alerts with documented rationale, including monitoring and testing routines to detect unusual/suspicious activities and to ensure effectiveness of controls.Act as the primary SME for inquiries and to provide support and guidance on AML/ATF related matters under AML/ATF legislation and Canadian Investment Regulatory Organization (CIRO) rules.Prepare and submit unusual transaction reports within specified timelines.Administer policies and procedures to ensure compliance with regulations related to money laundering included in the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA).Other FCM compliance tasks as assigned.What can you expect from us?We offer competitive compensation and benefits including Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement, and many more. We support internal promotion and community involvement.What do we expect from you?KnowledgeKey concepts, practices,



and procedures of securities industry and/or banking compliance reviews.Rules and regulations of the PCMLTFA, FINTRAC Guidelines, and other AML‑related regulations, rules, or guidance.Fundamental investment concepts, practices and procedures used in the securities industry.Principles of banking, finance, and securities industry operations.SkillsMicrosoft Office proficiency with a willingness and ability to learn new applications.Client service and relationship management.Analytics and research.AbilitiesWork within deadlines in a high‑volume, demanding workplace while maintaining service quality and attention to detail.Demonstrate advanced face‑to‑face, email, videoconferencing, and telephone etiquette and relationship management skills.Organize and compile data to produce metrics reports.Exercise tact and discretion in handling confidential information.Educational/Previous Experience RequirementsMinimum of 3 years of AML/ATF and/or fraud experience within the securities or financial industry in Canada (preferred).Licenses/CertificationsCAMs certification required or ability to obtain within 6 months of hire.Salary Range$71,000.00 – $82,000.00 annually, in addition to competitive performance bonuses/incentives. Actual compensation will be determined based on skills, experience, internal equity, and other job requirements.Equal Employment OpportunityAt 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.To request accommodations, candidates are instructed to contact Human Resources via email at [email protected] InformationJob: Auditing & CompliancePrimary Location: CA‑ON‑Toronto‑TorontoOther Locations: CA‑BC‑Vancouver‑VancouverSchedule: Full‑timeStatus: Permanent Full‑Time#J-18808-Ljbffr

📌 Aml Compliance Officer – Client Intelligence Unit - C$71,000 - C$82,000 A Year (Winnipeg)
🏢 Raymond James
📍 Winnipeg