Compliance Officer

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

Benefits offered by this job

Health benefits

RRSP Matching

Employee stock purchase plan

Paid time off

Job summary

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

The role of Compliance Officer reports to the Manager, Compliance and is responsible for trade approvals, monthly account reviews and social media supervision. It also involves liaising with sales staff to implement corrective actions and ensuring adherence to firm policies and industry regulations.

Qualifications

• Possess compliance or related branch/operations within the securities industries.
• Have completed the Canadian Securities and the Conduct and Practices Handbook courses or agree to complete within one year.
• Be proficient with MS Office and have strong communication skills; bilingualism is an asset.

Responsibilities

• Monitor and approve trades in restricted securities and/or accounts.
• Respond to requests from branches on various compliance issues.
• Act as the primary contact for New Accounts and restricted documents.
• Approve trade corrections and escalate trade reviews as needed.
• Conduct email and social media supervision.
• Provide support on various compliance projects and CIRO Tier 2 supervision tasks.

Skills

Compliance

MS Office

Bilingual

Education

Canadian Securities Course

Conduct and Practices Handbook Course

Privacy diploma (asset)

Tools

Dataphile

Job description

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?

Upon eligibility, Raymond James Ltd offers flexible 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);


• Possess legal and/or privacy diplomas (are an asset); and


• Bilingualism (French and English) is 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 recruitment and screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently, but they do not replace human decision-making.

Job

Auditing & Compliance

Primary Location

CA-ON-Toronto-Toronto

Other Locations

CA-BC-Vancouver-Vancouver

Schedule

Full-time

Status

Permanent Full-Time