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Raymond James Ltd.

Senior Compliance Officer

Toronto, ON, Canada

Job type: Full-time
Apply by: Oct 23, 2026
Experience: Minimum 3 years of experience in compliance within the securities industry.
Posting language: English
Posted: Sep 23, 2026

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Original 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.

Senior Compliance Officer

How does the role impact the organization?

As a Senior Compliance Officer, you will play an important role in ensuring the firm's adherence to industry regulations and internal policies. Your primary responsibility will be monitoring retail account activity, implementing corrective actions, and maintaining compliance standards. Additionally, you will serve as a key resource on the department's help desk, providing guidance and support to staff.

What will your role be responsible for?

Portfolio Oversight and Regulatory Compliance:

Support the Manager, Compliance in leading and overseeing compliance for discretionary portfolio programs, ensuring adherence to regulatory requirements across PIMG, APM Advice Preapprovals, RJIC, IFM Pooled Funds, Solus Trust, the Charitable Foundation, and related programs.
Prepare regulatory reports to meet RJIC filing requirements with the BCSC and OSC.

Trade Reviews and Account Supervision:

Assist the Manager, Compliance in conducting ongoing trade reviews and supervising managed accounts, with a primary focus on Tier 2 and hybrid Tier 1 supervisory duties, including transaction monitoring and suitability assessments across RJIC and PIMG managed accounts and pooled fund programs.
Conduct and approve Investment Fund Manager Net Asset Value (NAV) reviews for pooled funds, ensuring accuracy and adherence to established timelines.

Performance Reporting, Audits and Risk Assessments:

Assist in the preparation of supervision and performance reports for Operating Group meetings.
Support the Manager, Compliance in conducting compliance risk assessments, audits, and examinations; formulating policies and procedures; preparing regulatory clearinghouse interpretations and summaries; and supporting analytical projects and compliance presentations.
Identify, assess, and escalate compliance risks, including emerging regulatory risks.
Conduct and lead compliance risk assessments and thematic reviews.

Guidance, Support and Training:

Provide day-to-day guidance to Compliance officers and registrants.
Act as a subject matter expert and escalation point for complex issues.
Support development of compliance training programs and best practices.
Respond to compliance-related inquiries from branches.
Provide training and ongoing guidance to Compliance Officers.

Approvals & Decision Authority (Account and Trade Approvals):

Exercise enhanced judgement on complex approvals or recommendations to management.
Provide final review and escalation recommendations to management on non-standard cases.
Approve new account applications and IPS updates.
Act as the primary contact for questions regarding new accounts and document-deficient accounts.
Approve trade corrections and marketing requests from Portfolio Managers.

Monitoring and Reviews:

Review short positions in cash, RRSP, and margin accounts as needed.
Conduct option reviews, restricted security monitoring and portfolio analysis.

Stakeholder and Advisory Role (Help Desk and Investigative Support):

Act as a senior advisor to branches and portfolio managers on compliance matters.
Proactively engage with business partners to mitigate risk and improve controls.
Represent Compliance in cross-functional initiatives.
Monitor and respond to inquiries in the RJIC Compliance Help Inbox and assist with PIMG Compliance inbox queries from PMs.
Provide investigative support on various compliance projects.

Strategic Contributions and Additional Duties:

Contribute to improvement of compliance systems, controls, and processes.
Support strategic initiatives aligned with regulatory change and business growth.
Perform other duties as assigned by the Manager, Compliance.

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?

To qualify for this opportunity you possess:

Minimum 3 years of experience in compliance within the securities industry.
Successful completion of the Branch Manager / Investment Dealer Supervisors Course (IDSC) course and eligible for the CIRO registration category of Supervisor and Registered Representative, or committed to their successful completion.
Committed to the successful completion of the CIM designation would be considered an asset.
Proficiency with spreadsheets and Dataphile.
Excellent analytical, communication, and interpersonal skills.
Ability to work independently and as part of a team.
Well-developed and proven customer service and interpersonal skills.
Strong multi-tasking skills and the ability to work under pressure.
Excellent group dynamics and the desire to work in a team environment.
Support from your department Manager is 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.

Salary Range: $75,000 - 90,000 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 recruitment@raymondjames.ca. 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.

Apply About employer

More about this job

Responsibilities

Oversee compliance for discretionary portfolio programs, review trades and managed accounts, approve account and trade matters, and prepare regulatory and performance reports. Advise branches and portfolio managers, support audits and risk assessments, provide training, and help improve compliance controls and processes.

Requirements

Candidates need at least three years of securities-industry compliance experience and must have completed, or be committed to completing, the Branch Manager / Investment Dealer Supervisors Course and qualify for the CIRO Supervisor and Registered Representative categories. Spreadsheet and Dataphile proficiency, strong analytical and communication skills, and the ability to work independently and collaboratively are required; completing the CIM designation is an asset.

Skills

Regulatory Compliance
Trade Reviews
Account Supervision
Transaction Monitoring
Suitability Assessments
Net Asset Value Reviews
Compliance Risk Assessments
Audits
Regulatory Reporting
Policy Development
Risk Escalation
Compliance Training
New Account Approvals
Investment Fund Management
Analytical Skills
Dataphile

Benefits

Health Benefits
RRSP Matching Program
Employee Stock Purchase Plan
Paid Time Off
Volunteer Days
Discretionary Bonuses
Tuition Reimbursement

Visa sponsorship

Not detected in the job text

Keywords

Securities Industry
Regulatory Compliance
CIRO
Supervisor Registration
Registered Representative
CIM Designation
Dataphile
Spreadsheets
Discretionary Portfolio Programs
Pooled Funds
RJIC
PIMG
BCSC
OSC
Trade Reviews
Managed Accounts
Transaction Monitoring
Suitability Assessments
Net Asset Value
Compliance Audits
Risk Assessments
Regulatory Reporting
Compliance Policies and Procedures
Restricted Securities
Options Reviews
Account Approvals
Trade Corrections
Marketing Requests
Compliance Training

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