VP, Trading Compliance

Raymond James Ltd.; Vancouver; On-site; CAD 130,000 - 160,000; Full time

Benefits offered by this job

Flexible workstyles

Health benefits

RRSP Matching Program

Employee Stock Purchase Plan

Paid Time Off

Volunteer Days

Discretionary bonuses

Tuition Reimbursement

Job summary

Raymond James Ltd. is a leading Canadian independent investment dealer known for high-quality products and customized wealth management solutions.

The Vice President, Trading Compliance will oversee trade compliance and surveillance for the Private Client Group, acting as UMIR subject-matter expert and guiding advisors and supervisors across the organization. The role focuses on safeguarding market integrity, regulatory risk management, and evolving the compliance program.

Qualifications

• Experience in trade compliance, supervision, surveillance, or related regulatory environment.
• Strong knowledge of UMIR, CIRO Dealer Member Rules, and Canadian securities framework.
• Proven ability to conduct compliance reviews or investigations.

Responsibilities

• Review and investigate trade surveillance alerts to identify potential regulatory or market conduct concerns.
• Conduct employee account trading reviews for compliance with policies and regulations.
• Escalate and support investigations of trading activity with compliance or market risk implications.
• Act as a subject matter expert on UMIR and advise advisors, supervisors, and business partners.
• Partner with Compliance, Supervision, and business teams to resolve trade compliance matters.

Skills

Trade compliance

UMIR knowledge

Analytical skills

Communication

Excel

Regulatory governance

Education

Investment Dealer Supervisor Course

CIRO Supervisor course

Options Supervisor Course (asset)

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.

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 strong 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 account trading reviews to ensure compliance with internal policies and regulatory requirements.
• Escalate and support investigations of trading activity that may present compliance or market integrity risks.
• Act as a subject matter expert on UMIR and provide guidance to advisors, supervisors, and business partners.
• Partner with Compliance, Supervision, and business teams to resolve trade compliance matters and support risk mitigation.
• Prepare and contribute to monthly, quarterly, and Board-level compliance reporting.
• Support regulatory inquiries, examinations, audits, and internal investigations.
• Identify emerging risks and recommend enhancements to surveillance processes, controls, and procedures.
• Deliver compliance education and guidance to business partners across the organization.
• Mentor and support Compliance team members while fostering a collaborative, high-performing environment.

What can you expect from us?

Our most important investment is in people. 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?

• 5+ years of experience in trade compliance, supervision, surveillance, or a related regulatory environment.
• Strong knowledge of UMIR, CIRO Dealer Member Rules, and the Canadian securities regulatory framework.
• Demonstrated experience conducting compliance reviews, investigations, or surveillance activities.
• Strong analytical and investigative skills, with exceptional attention to detail.
• Ability to exercise sound judgment and effectively manage competing priorities.
• Excellent communication and relationship-building skills, with the ability to influence stakeholders across the organization.
• Proficiency in Microsoft Office applications, including Excel, Word, and Outlook.

Licenses/Certifications

• Successful completion of the Investment Dealer Supervisor Course and the requisite courses for registration as an CIRO Supervisor are required.
• Completion of the Options Supervisor Course 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: $130,000 - 160,000 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.

Primary Location

CA-BC-Vancouver-Vancouver

Other Locations

CA-ON-Toronto-Toronto, CA-QC-Montreal-Montréal

Schedule

Full-time

Status

Permanent Full-Time