Senior Compliance Officer – Investments & Regulatory Oversight (Ontario)

30 Sep

Raymond James

Ontario

30 Sep

Raymond James

Ontario

Raymond James Ltd. is seeking a Senior Compliance Officer in Canada to monitor retail account activity, oversee discretionary portfolio programs, and ensure regulatory adherence across multiple programs. You will support the Compliance Help Desk and act as a senior advisor to branches and portfolio managers.
Responsibilities include supervising trade reviews, NAV reviews for pooled funds, risk assessments, audits, and development of policies. A CIM or CIRO pathway is encouraged.

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📌 Senior Compliance Officer – Investments & Regulatory Oversight (Ontario)
🏢 Raymond James
📍 Ontario

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