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 rapid-paced settings Bring your commitment to compliance excellence to Raymond James and contribute to high standards of customer service.

📌 Compliance Officer Position At Raymond James Toronto (Canada)
🏢 Raymond James
📍 Canada