Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Senior Compliance Officer

As a Senior Compliance Officer, you will play an important role in ensuring the firm's adherence to industry regulations and internal policies. Your primary responsibility will be monitoring retail account activity, implementing corrective actions, and maintaining compliance standards. Additionally, you will serve as a key resource on the department's help desk, providing guidance and support to staff.

Portfolio Oversight and Regulatory Compliance: Support the Manager, Compliance in leading and overseeing compliance for discretionary portfolio programs, ensuring adherence to regulatory requirements across PIMG, APM Advice Preapprovals, RJIC, IFM Pooled Funds, Solus Trust, the Charitable Foundation, and related programs. Prepare regulatory reports to meet RJIC filing requirements with the BCSC and OSC.

Trade Reviews and Account Supervision: Assist the Manager, Compliance in conducting ongoing trade reviews and supervising managed accounts, with a primary focus on Tier 2 and hybrid Tier 1 supervisory duties, including transaction monitoring and suitability assessments across RJIC and PIMG managed accounts and pooled fund programs. Conduct and approve Investment Fund Manager Net Asset Value (NAV) reviews for pooled funds, ensuring accuracy and adherence to established timelines.

Performance

Reporting, Audits and Risk Assessments: Assist in the preparation of supervision and performance reports for Operating Group meetings. Support the Manager,



Compliance in conducting compliance risk assessments, audits, and examinations; formulating policies and procedures; preparing regulatory clearinghouse interpretations and summaries; and supporting analytical projects and compliance presentations. Identify, assess, and elevate compliance risks, including emerging regulatory risks.

Conduct and lead compliance risk assessments and thematic reviews. Guidance, Support and Training: Provide day-to-day guidance to Compliance officers and registrants. Support development of compliance training programs and best practices.

Respond to compliance-related inquiries from branches. Provide training and ongoing guidance to Compliance Officers. Approvals & Decision Authority (Account and Trade Approvals): Approve new account applications and IPS updates.

Act as the primary contact for questions regarding new accounts and document-deficient accounts. Approve trade corrections and marketing requests from Portfolio Managers.

Monitoring and Reviews: Review short positions in cash, RRSP, and margin accounts as needed. Conduct option reviews, restricted security monitoring and portfolio analysis. Stakeholder and Advisory Role (Help Desk and Investigative Support): Act as a senior advisor to branches and portfolio managers on compliance matters.



Proactively engage with business partners to mitigate risk and improve controls.

Represent

Compliance in cross-functional initiatives. Monitor and respond to inquiries in the RJIC Compliance Help Inbox and assist with PIMG Compliance inbox queries from PMs. Provide investigative support on various compliance projects.

Contribute to improvement of compliance systems, controls, and processes. Support strategic initiatives aligned with regulatory change and business growth. Perform other duties as assigned by the Manager, Compliance.

Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package. Our perks range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more! We also support internal promotion and community involvement.

Minimum 3 years of experience in compliance within the securities industry. Committed to the successful completion of the CIM designation would be considered an asset. Well-developed and proven customer service and interpersonal skills.

Salary Range: $75,000 - 90,000 annually, in addition to competitive performance bonuses/incentives. Actual compensation will be determined based on skills, experience, internal equity, and other job requirements. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture. These tools help us review applications efficiently, but they do not replace human decision-making. #

📌 Senior Compliance Officer - Monitoring (Toronto)
🏢 Raymond James
📍 Toronto