Compliance Officer

Join to apply for the Compliance Officer role at Raymond James Ltd. At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together. Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs. How does the role impact the organization? Reporting to the Senior Manager, Compliance, you will be primarily responsible for trade approvals, monthly account reviews and social media management. You will also contact sales staff to implement corrective actions and ensure compliance with the firm’s policies and procedures as well as industry regulations. 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 restricting deficient accounts. Approve trade corrections and various trade review escalations. Conduct email and social media supervision. Provide support on various compliance projects. 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 offers flexible workstyles, a competitive compensation and benefits package. Benefits include health benefits, RRSP matching program, employee stock purchase plan, paid time off, volunteer days, discretionary bonuses, tuition reimbursement, and more We also support internal promotion and community involvement. What do we expect from you? Possess compliance or related branch/operations experience 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 (Word, Excel, Outlook) and Dataphile. Have superior oral and written communication skills. Have well‑developed customer service and interpersonal skills. Be a strong multi‑tasker and work well under pressure. Perform well independently and with a team. Have successfully completed Branch Manager, Options Licensing, Options Supervisors Courses or other CSI Courses (assets). Possess legal and/or privacy diplomas (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 ourselves and others accountable for delivering results that matter. Contribute to the continuous evolution of the firm. 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 should contact Human Resources via email at recruitment@raymondjames.ca. Salary Range: $65,000‑$82,000 in addition to competitive performance bonuses/incentives. Job Details Job function: Legal Schedule: Full-time Status: Permanent Full-Time Primary location: Vancouver, BC Other locations: Montreal, QC; Toronto, ON Organization: Compliance #J-18808-Ljbffr