Compliance Officer

Raymond James Financial; Toronto; On-site; CAD 72,000 - 85,000; Full time

Benefits offered by this job

Flexible workstyles

Health benefits

RRSP matching

Employee stock purchase plan

Paid time off

Volunteer days

Bonuses

Job summary

Raymond James Ltd. is seeking a Compliance Officer to oversee trade approvals, monthly account reviews, and social media supervision.

You will liaise with sales staff to implement corrective actions and ensure compliance with firm policies and industry regulations. The role includes staffing the department’s help desk as a compliance resource, supporting CIRO Tier 2 supervisory tasks, and contributing to compliance projects.

Qualifications

• Possess compliance or related branch/operations within the securities industries.
• Have completed Canadian Securities and the Conduct and Practices Handbook courses or agree to complete within one year.
• Proficient with MS Office (Word, Excel, Outlook) and Dataphile; strong written and verbal communication.
• Strong customer service and interpersonal skills; able to multitask and work under pressure.

Responsibilities

• Monitor and approve trades in restricted securities and/or accounts.
• Respond to branch requests on compliance issues.
• Act as primary contact for questions on New Accounts and restricted accounts.
• Approve trade corrections and escalations; conduct email and social media supervision.
• Support on various compliance projects; staff the department’s help desk.

Skills

MS Office

Communication skills

Customer service

Education

Canadian Securities Course

Conduct and Practices Handbook

Tools

Dataphile

Job description

Job Description - Compliance Officer (2600493)

Compliance Officer - 2600493

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.

Compliance Officer

How does the role impact the organization?

Reporting to the Manager, Compliance, you will be primarily responsible for trade approvals, monthly account reviews and social media management. You will also be responsible for contacting sales staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations. In addition, you will play an active role in staffing the department’s "help desk" as a compliance resource person.

What will your role be responsible for?

• Monitor and approve trades in restricted securities and/or accounts;
• Respond to requests from branches on various compliance issues;
• Act as the primary contact person for questions pertaining to New Accounts and the restriction of document deficient accounts;
• Approve trade corrections and various trade review escalations;
• Conduct email and social media supervision;
• Provide support as required on various compliance projects; and
• Execute other duties relevant to CIRO Tier 2 supervisory role.

What can you expect from us?

Our most important investment is in people. Upon eligibility, Raymond James Ltd offersflexible workstyles,a competitive compensation and benefits package. Our benefits 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.

What do we expect from you?

• Possess compliance or related branch/operations within the securities industries;
• Have successfully completed the Canadian Securities and the Conduct and Practices Handbook courses or agree to complete the courses within one year;
• Be proficient with MS Office (focusing on Word, Excel and Outlook) and Dataphile;
• Have a superior oral and written communication skills;
• Have a well-developed and proven customer service and interpersonal skills;
• Be a strong multi-tasker and have the ability to work under pressure;
• Perform well independently and with a team;
• Have successfully completed Branch Manager, Options Licensing, Options Supervisors Courses or other CSI Courses (are definite assets); and
• Possess legal and/or privacy diplomas (are an asset).

We encourage our associates at all levels to:

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

Salary Range:$72,000 - 85,000 annually, in addition to competitive performance bonuses/incentives.

Actual compensation will be determined based on skills, experience, internal equity, and other job requirements. This posting is for an existing vacancy.

At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. Here at Raymond James we demonstrate our commitment to ensuring equal opportunities for all candidates. To request accommodations, candidates are instructed to contact Human Resources via email at [e-mail]. By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.

We may use automated or AI-enabled tools to support parts of our recruitmentand screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently,but they donot replace human decision-making.

Raymond James Ltd. is a member of the Investment IndustryRegulatory Organization of Canada (IIROC) and of the Canadian Investor ProtectionFund (CIPF). Customers’ accounts are protected by the Canadian Investor ProtectionFund within specified limits. A brochure describing the nature and limits ofcoverage is available upon request or at . 3Macs, MacDougall,MacDougall & MacTier and Raymond James Correspondent Services are divisions ofRaymond James Ltd. Raymond James Ltd. is an integrated financial services firm. Itssubsidiaries, Raymond James Investment Counsel Ltd., Raymond James FinancialPlanning Ltd., Raymond James Trust (Canada) and Raymond James Trust (Québec) Ltd.are not members of the IIROC or the CIPF. Please consult each subsidiary’s webpagesfor applicable corporate, regulatory or membership information.www.cipf.ca