OverviewCompliance Officer - 2600090At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together. Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.Compliance OfficerHow does the role impact the organization?Reporting to the Senior 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.What will your role be responsible for?Monitor and approve trades in restricted securities and/or accounts; Respond to requests frombranches on various compliance issues; Act as the primarycontact for questions pertaining to New Accounts and the restriction of document deficient accounts; Approve trade corrections and various trade review escalations; Conduct email and socialmedia supervision; Provide support asrequired on various compliance projects; andExecute other dutiesrelevant to CIRO Tier 2 supervisory role.What can you expect from us?Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and perks package. Our benefits include Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and more. We also support internal promotion and community involvement.What do we expect from you?Possess compliance or related branch/operations experience within the securities industries; Have successfully completed the Canadian Securities and the Conduct and Practices Handbook courses or agree to complete the courses within one year; Be proficient withMS Office (Word, Excel and Outlook)



and Dataphile; Have superior oraland written communication skills; Have well-developed customer service and interpersonal skills; Be a strong multi-taskerand able to work under pressure; Perform well independently and with a team; Have completed Branch Manager, Options Licensing, Options Supervisors Courses or other CSI Courses (assets); Possess legal and/or privacy diplomas (an asset).We encourage our associates at all levels to:Grow professionally and inspire others to do the sameWork with and through others to achieve desired outcomesMake prompt, pragmatic choices and act with the client in mindTake ownership and hold themselves and others accountable for delivering results that matterContribute to the continuous evolution of the firmSalary Range:$65,000-82,000 annually, in addition to competitive performance bonuses/incentives.Actual compensation will be determined based on skills, experience, internal equity, and other job requirements.Equal Opportunity and AccessibilityThis posting is for an existing vacancy. Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. We are committed to ensuring equal opportunities for all candidates. To request accommodations, candidates may contact Human Resources via email at [email protected] may use automated or AI-enabled tools to support parts of our recruitment and screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently but do not replace human decision-making.Raymond James Ltd. is a member of the Investment Industry Regulatory Organization of Canada (IIROC) and of the Canadian Investor Protection Fund (CIPF). Customers’ accounts are protected by the Canadian Investor Protection Fund within specified limits. A brochure describing the nature and limits of coverage is available upon request or at cipf.Ca. Raymond James subsidiaries are not members of IIROC or CIPF. Please consult each subsidiary’s webpages for applicable corporate, regulatory or membership information.#J-18808-Ljbffr

📌 Compliance Officer - C$65,000 - C$82,000 A Year (Toronto)
🏢 Raymond James
📍 Toronto