Job Description - Compliance Associate (2600658) Compliance Associate - 2600658

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.

RJLU Compliance Associate

RJL) is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

RJL is seeking a Compliance Associate for a 12-month contract with its subsidiary company Raymond James (USA) Ltd. (S. with the Securities Exchange Commission (SEC) as a Registered Investment Adviser and Broker-Dealer and is a member of Financial Industry Regulatory Authority (FINRA). Reporting to the Manager, RJLU Compliance, the Compliance Associate will support routine monitoring, administrative and documentation activities across the Institutional and Private Client Group lines of business. This position requires strong organizational skills, attention to detail and an interest in securities compliance. The position interfaces with advisors, sales assistants, the firm’s custodian, Operations and RJLU home office staff, with training and oversight provided by the Compliance team.

Conduct daily email monitoring and maintain supporting supervisory documentation.

Monitor the Compliance inbox, respond to routine advisor and sales assistant inquiries and elevate complex matters.

Maintain logs and records for certificate deposits and other Compliance activities.

Support Prudent Process administration, including documentation reviews, database maintenance and monitoring.

Assist in coordinating continuing education and preparing related materials.

Assist with compliance procedures,



recordkeeping and process improvements.

Provide administrative support for examinations, audit remediation and Compliance Edge implementation, as assigned.

Travel on an ad hoc basis, if required.

Participate in other Compliance tasks and projects, as assigned.

Our benefits range from Health Perks, 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.

MS Office and excellent proficiency with MS Outlook, Word, Excel and PowerPoint.

Securities operations, including certificate deposits, legend removals and transfers, an asset.

Regulatory and compliance processes, an asset.

Pershing’s NetX360 system, an asset.

Work on simultaneous projects.

Communicate effectively both verbally and in writing.

Prior securities industry, financial services or compliance experience is an asset.

S. broker‑dealer or Canadian cross‑border dealer is an asset, not required.

Strong customer service and interpersonal skills, with willingness to learn.

55,000 - $65,000 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 donot replace human decision‑making.

Customers’s accounts are protected by the Canadian Investor ProtectionFund within specified limits. Please consult each subsidiary’s webpagesfor applicable corporate, regulatory or membership information.

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