At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.
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.
VP, Trading Compliance
How does the role impact the organization?
We're seeking a Vice President, Trading Compliance to join our Compliance team. In this role, you'll oversee trade compliance and surveillance activities supporting Raymond James Ltd.'s Private Client Group (PCG) business lines.
As the firm's subject matter expert on Universal Market Integrity Rules (UMIR), you'll play a key role in safeguarding market integrity, managing regulatory risk, and supporting a solid culture of compliance. Working closely with advisors, supervision teams, and business leaders, you'll help ensure trading activities align with regulatory requirements while contributing to the ongoing enhancement of our compliance program.
What will your role be responsible for?
Review and investigate trade surveillance alerts to identify potential regulatory or market conduct concerns.
Conduct employee

📌 Vp, trading compliance (Vancouver)
🏢 Raymond James
📍 Vancouver