Rjlu Compliance Officer

6 months ago

Toronto, Canada Raymond James Financial Full time

**RJLU Compliance Officer**
- 2302911
- 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.

**_RJLU Compliance Officer_**

**How does the role impact the organization?**

Reporting to the Chief Compliance Officer of RJLU, the individual will primarily be responsible for leading various program and system enhancement initiatives and monitoring retail account activity for RJLU clients. The individual will be tasked with reaching out to internal sales staff to resolve and implement corrective actions as well as ensuring compliance with the firm’s policies & procedures and industry regulations. In addition, the individual will act as a knowledgeable resource in assisting with internal compliance inquiries and issues.

**What will your role be responsible for?**
- Support the Chief Compliance Officer (CCO) with trade review and compliance functions for retail branch accounts in Canada and the US;
- Support the CCO with conducting branch reviews in addition to leading projects to implement surveillance tools and enhance policies and procedures;
- Respond to requests from other RJLU branches on various compliance issues;
- Participate in the performance of daily and monthly trade reviews pertaining to:

- Penny Stocks;
- Blue Sky;
- Pro Accounts;
- Restricted Securities; and
- Attend weekly/monthly meetings;
- Assist with writing policies/procedures and creating Continuing Education courses; and
- Provide investigative support, as required, on various compliance projects.

**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?**
- Proficient in Microsoft Office particularly Word, Excel and Outlook;
- The ability to Multi-task efficiently;
- Work well under tight time constraints;
- An effective communicator that excels in oral and written communication

**Education/Previous Experience**
- Minimum 2 years Compliance or related experience within the securities industry;
- Previous experience with NetX360 is an asset; and
- Previous regulatory, legal and/or project experience is an asset.

**Licenses/Certifications**
- Successful completion of FINRA’s SIE & Series 7 exam and willingness to complete the Series 24, if required.

**Travel requirements**
- Ability to travel on an ad-hoc basis, when required.

**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

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.

**Job** Auditing & Compliance

**Primary Location** CA-ON-Toronto-Toronto

**Other Locations** CA-BC-Vancouver-Vancouver

**Organization** Compliance

**Schedule** Full-time

**Status** Permanent Full-Time

  • Compliance Officer

    5 months ago

    Toronto, Canada Questrade Financial Group Full time

    Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about...

  • Compliance Officer

    3 weeks ago

    Toronto, Canada Osiris Concepts Full time

    We are working alongside one of our clients to help them find a Compliance Officer. They are a growing international e-wallet and payment services provider, is looking for a leading Compliance Officer for its Canadian office, based in Toronto, to provide effective leadership and continued development to ensure its business processes and procedures adhere to...

  • Compliance Officer

    5 months ago

    Toronto, Canada CIRO Full time

    **Position Title: Compliance Officer (MFD)** **Department: Business Conduct Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is carrying on the...

  • Compliance Officer

    3 weeks ago

    Toronto, Canada Cassiopay Full time

    Cassiopay, a growing international e-wallet and payment services provider, is looking for a Compliance Officer for its Canadian office, based in Toronto, to provide continued development to ensure its business processes and procedures adhere to all applicable laws, rules, and regulations and internal rules.As the compliance subject matter expert, working...

  • Compliance Officer

    6 months ago

    Toronto, Canada Iceberg Finance Group Full time

    **Company Overview**: iFinance Canada is a well-established national consumer financing company that offers various financing to Canadians since 1996. We are part of Iceberg Finance Group, a sister company based in Quebec that also does business across Canada. We are a dynamic, rapidly growing organization currently recruiting for a meticulous and...

  • Compliance Officer

    5 months ago

    Toronto, Canada Enable Full time

    **Job Summary** As a **Compliance Officer **you will be responsible for helping Enable deliver on its quality management programme to meet external regulatory and statutory requirements and internal policies and procedures as part of the Sourcing, Risk & Compliance function. Your role is key in helping Enable’s departments understand their requirements...

  • Compliance Officer

    2 months ago

    Toronto, Canada CIRO Full time

    **Position Title: Compliance Officer** **Department: Business Conduct Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** **Day in the life of**: CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Ontario, Canada Angular Directions Full time

    We are working alongside one of our clients to help them find a Compliance Officer. They are a growing international e-wallet and payment services provider, is looking for a leading Compliance Officer for its Canadian office, based in Toronto, to provide effective leadership and continued development to ensure its business processes and procedures adhere to...

  • Compliance Officer

    3 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Ontario, Canada Cassiopay Full time

    Cassiopay, a growing international e-wallet and payment services provider, is looking for a Compliance Officer for its Canadian office, based in Toronto, to provide continued development to ensure its business processes and procedures adhere to all applicable laws, rules, and regulations and internal rules.As the compliance subject matter expert, working...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Canada beBee Professionals Full time $45,000 - $60,000

    We are seeking a Compliance Officer to join our finance team at beBee Professionals in Toronto. In this role, you will be responsible for maintaining accurate financial records, handling accounts payable and receivable, and ensuring the integrity of our accounting practices.Key Responsibilities:Manage and maintain financial records, including ledgers,...

  • Compliance Officer

    2 months ago

    Toronto, Canada Purves Redmond Limited Full time

    **Overview** We are seeking a Compliance Officer to join the Purves Redmond Limited team. In this role, you will act as a trusted advisor to colleagues and senior leadership on a wide range of risk and compliance matters. You will play a critical role in ensuring adherence to insurance legislation and promoting a culture of compliance across the...

  • Compliance Analyst/Officer

    6 months ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Ontario, Canada Options Consulting Solutions Full time

    About the jobCOMPLIANCE OFFICERFULL-TIMEDOWNTOWN TORONTO, ONSalary up to $120KAs the Compliance Officer, you will be responsible for overseeing the firm’s regulatory and internal compliance programs, ensuring that all operations, transactions, and client interactions comply with applicable laws, regulations, and internal policies. You will collaborate with...

  • Compliance Officer

    2 months ago

    Toronto, Canada destinationone Consulting Full time

    destinationone Consultingspecializes in recruitment across various sectors includingHealthcare Health Tech Government Municipalities NonProfits Legaland more. We are proactively building a data bank for opportunitiesin these fields. By applying you ensure our recruiters can quicklymatch you with suitable roles when theyarise.Location:Variouslocations...

  • Compliance Officer

    3 weeks ago

    Toronto, Ontario, Ontario, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Business Compliance Officer

    6 months ago

    Toronto, Canada PC Financial Full time

    **All referred applicants must first be submitted through Workday by a current Loblaw Colleague.** **Location**: 500 Lakeshore Blvd. West, Toronto, Ontario, M5V 2V9 **When you hire great people, great things can happen.** PC Financial offers unprecedented value to Canadians through payment products. We’re a different kind of bank with a different type...