Raymond James Ltd. in Vancouver is seeking a Vice President, Trading Compliance to oversee trade compliance and surveillance for the Private Client Group.
You will be the UMIR subject‑matter expert, partnering with advisors, supervision teams and business leaders to ensure trading activities meet regulatory requirements. Key duties include reviewing alerts, conducting employee account reviews, escalating investigations, producing monthly and Board‑level reports, and driving improvements to
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📌 Trading Compliance Leader, UMIR Expert | Flexible Workstyles (British Columbia)
🏢 Socket.dev
📍 British Columbia
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