Elevate your career as a Senior Compliance Officer at Raymond James. Focus on compliance oversight and staff support to safeguard regulatory adherence.

Your role as a Senior Compliance Officer is crucial to Rayond James's commitment to compliance and integrity in investment management. You will monitor various portfolio programs and engage in trade reviews, determining suitability and enhancing compliance protocols. Additionally, you will be an essential resource for staff training and risk assessments.

Key Responsibilities:
• Support compliance for discretionary portfolio programs
• Oversee trade reviews and compliance audits
• Prepare reports for regulatory bodies
• Provide guidance and training to compliance staff
• Identify compliance risks and enhance controls

Requirements:
• At least 3 years’ experience in compliance
• Completion of IDSC Course and CIRO registration eligibility
• Expertise in spreadsheets and Dataphile
• Robust communication and customer service skills
• Ability to thrive in fast-paced environments

Bring your commitment to compliance excellence to Raymond James and contribute to high standards of customer service.
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📌 Compliance Officer Position at Raymond James (Ontario)
🏢 Raymond James
📍 Ontario