Cross-Border Compliance Associate (12-Month Contract)

Raymond James Financial; Toronto; On-site; CAD 55,000 - 65,000; Full time

Benefits offered by this job

Health benefits

RRSP matching

Employee stock purchase plan

Paid time off

Volunteer days

Discretionary bonuses

Tuition reimbursement

Job summary

Raymond James Ltd. is seeking a Compliance Associate for a 12-month contract to support routine monitoring, documentation and administration across multiple business lines.

The role can be based out of Toronto or Vancouver and involves collaboration with advisors, sales assistants, the firm’s custodian, and home office staff. The ideal candidate has securities industry or compliance experience, familiarity with regulatory processes, and FINRA exam credentials or willingness to pursue them.

Qualifications

• Prior securities industry, financial services or compliance experience is an asset.
• Experience with a U.S. broker‑dealer or Canadian cross-border dealer is an asset, not required.
• FINRA SIE, Series 7 and Series 24 exams highly desired, or willingness to complete within a reasonable timeframe.
• Strong customer service and interpersonal skills, with willingness to learn.

Responsibilities

• Conduct daily trade reviews and document issues.
• Monitor the Compliance inbox and respond to routine inquiries.
• Assist with security deposits, legend removals and related processing.
• Maintain logs and records for certificate deposits and other compliance activities.
• Coordinate continuing education and prepare related materials.
• Assist with examinations, audit remediation and compliance projects.
• Attend team and firm meetings; travel on ad hoc basis.

Skills

MS Office

Communication

Attention to detail

Time management

Education

FINRA SIE

Series 7

Series 24

Tools

Pershing NetX360

Job description

Raymond James Ltd. is seeking a Compliance Associate for a 12-month contract to support routine monitoring, documentation and administration across multiple business lines.

The role can be based out of Toronto or Vancouver and involves collaboration with advisors, sales assistants, the firm’s custodian, and home office staff. The ideal candidate has securities industry or compliance experience, familiarity with regulatory processes, and FINRA exam credentials or willingness to pursue them.