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 adaptable 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 robust 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 (Canada)
🏢 Raymond James Financial
📍 Canada