Drive integrity and compliance in trading at Raymond James as the Vice President of Trading Compliance. Oversee critical surveillance and compliance functions while enjoying a flexible workstyle within a reputable firm.
You will be a key leader within the Compliance team, focusing on regulatory risk management for the Private Client Group. Your strong expertise in UMIR will be essential in ensuring all trading practices align with compliance standards and fostering a proactive compliance culture. Collaborate with advisors and internal teams to enhance compliance mechanisms.
Key Responsibilities:
• Analyze trade surveillance alerts for compliance issues • Conduct thorough reviews of employee trading activities • Escalate and investigate non-compliant trading actions • Advise on UMIR and provide support to advisors • Prepare detailed compliance performance reports
Requirements: • 5+ years of relevant compliance experience • Comprehensive knowledge of Canadian securities regulations • Demonstrated background in compliance review processes • Solid analytical skills and attention to detail • Proficiency using Microsoft Office tools
Contribute your expertise to optimize compliance programs at Raymond James, ensuring a culture of integrity and accountability.
📌 VP Trading Compliance Leadership Role (Vancouver)
🏢 Raymond James Financial
📍 Vancouver
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