Find work in Canada.

630,104 jobs across our Canadian network. How we count

Jobs in Canada

25+ jobs

Email me new jobs Save this search

Added 9 mins ago
RO
Treasury Operations Specialist
Rubicon Organics™
Vancouver, BC
- $60,000 to $75,000 CAD / year
- Full-time
Support initiatives aimed at improving cash collections and reducing days sales outstanding (DSO).
Added 9 mins ago
BB
Purchasing & Business Operations Coordinator
Blue Barn Pet & Hobby Farm
Castlegar, BC
- Full-time
Support administrative functions and business operations as needed
Added 9 mins ago
C
Cyber Security Analyst
Creyos
Toronto, ON
- $80,000 to $100,000 CAD / year
- Full-time
Creyos uses an AI-powered tool as part of an automated process to support our hiring process by analyzing your experience, skills, and qualifications to help identify alignment with role…
Added 9 mins ago
JH
Client Service Associate
Jackson Hewitt Tax Service Inc.
Richmond, BC
- Part-time
…ensuring exceptional client experiences and providing essential support. In this role, you will actively engage with clients, confirm appointments, follow up with past and potential…
Added 9 mins ago
AK
Assistant Branch Manager
AIM KENNY U-PULL
Montreal, QC
- Full-time
…4,000 employees worldwide, and over $3.5 billion in annual…
Added 9 mins ago
B
Financial Shared Services Representative
BGIS
Markham, ON
- Full-time
Files, maintains and retrieves documentations for audit support
Added 9 mins ago
TN
Media Operations & Technology Coordinator
The Northern Miner
Toronto, ON
- Full-time
Collaborate with Sales, Marketing, and Editorial teams to coordinate production requirements, advertising deliverables, and sales support activities.
Added 9 mins ago
AP
Graphics Coordinator
Atlantic Packaging Products Ltd.
Toronto, ON
- Full-time
Provide technical and analytical support by evaluating artwork, specifications, production requirements, and workflow data to identify issues, resolve problems, and improve accuracy,…
Added 9 mins ago
GR
Sales Service Representative
Geanel Restaurant Supplies Ltd
Saskatoon, SK
- Full-time
Role Description The Sales Service Representative is a full-time, on-site role based in Saskatoon and area. This position is responsible for assisting customers in-store and via phone or…
Added 9 mins ago
ASSISTANT MANAGER
Boutique La Vie En Rose
Bromont, QC
Train your team members to provide strong customer support - teach them the best sales techniques and make sure they’re familiar with all product features;
Added 24 mins ago
R
Administrateur(trice) des ventes
Roofmart
Quebec, QC · Roofmart Quebec City
- Full-time
Job Summary: Join the vibrant Roofmart Sales Team in a key support role focused on delivering world-class service and building lasting customer relationships. You’ll assist with project…
Added 24 mins ago
Support Officer - 12 Month Term
Scotiabank
Stratford, ON
Contributes to the overall success of the Servicing - Support Desk in Canada ensuring specific individual goals, plans, initiatives are executed/delivered in support of the team’s business…
Added 39 mins ago
SH
experienced sale person in home care settings
Senior Helpers
Calgary, AB
- Full-time
…meaningful. Career opportunities span corporate, managerial, administrative, and caregiving roles, offering purpose-driven work in a supportive…
Added 39 mins ago
L
Assistant Manager, Operations | Tanger Outlet
lululemon
Ottawa, ON
- Internship
Perform administrative actions to support team members, including completing payroll, approving vacation and time off requests, approving shift swaps, and other documentation according to…
Added 39 mins ago
TP
Financial Services Officer (Banking)
The Police Credit Union Ltd.
Toronto, ON · North York, ON
- Full-time
…prefers a hands-on approach to analyzing key variables as they support members in gaining financial literacy. Our Branch is a dynamic power team and we welcome those looking to contribute…
Added 39 mins ago
JB
Inside Sales Representative
John Brooks
Mississauga, ON
- Full-time
Monitor market activity, customer feedback, and competitive insights to support business growth and sales effectiveness
Added 39 mins ago
Wealth Management Intern (Student/New Grad Position)
The Canada Life Assurance Company
Toronto, ON
As a Wealth Management Intern (Student/New Grad Position), you will support the sales team by providing activity management and case support to ensure the right follow up and coordination…
Added 40 mins ago
JB
Inside Sales Representative
John Brooks Company
Remote, Canada
- Full-time
- Remote
Monitor market activity, customer feedback, and competitive insights to support business growth and sales effectiveness.
Added 53 mins ago
CC
Retail Shift Leader
Canna Cabana
Ancaster, ON
- $20.4 to $21.6 CAD / hour
- Part-time
Be the sales and customer service leader/role model in the absence of SM/ASM
Added 53 mins ago
D
Advisor, Securities
Desjardins
Pointe-Claire, QC · Montreal, QC · Brossard, QC · Val-d'Or, QC · Thetford Mines, QC · Salaberry-de-Valleyfield, QC · Victoriaville, QC · Mont-Saint-Hilaire, QC · Quebec, QC · Laval, QC · Saint-Hyacinthe, QC · Trois-Rivières, QC · Gatineau, QC · Sherbrooke, QC · Cowansville, QC
- Full-time
As an investment assistant, you play a hands-on role supporting the advisors by performing all the administrative and operational tasks involved in securities account management. You track…
Added 53 mins ago
RJ
Branch Compliance Supervisor
Raymond James
Ottawa, ON · Montreal, QC
- Full-time
…Compliance Supervisor will also provide regulatory guidance and support to Financial Advisors and requires strong relationship management…
Added 1 hour ago
V|
Administrative Assistant (6:30am-3pm)
Veolia | North America
AB · Edmonton, AB
- Full-time
The Administrative Assistant serves as the primary coordinator for end-to-end order management, ensuring seamless execution from initial order entry through final delivery. This role acts…
Added 1 hour ago
T(
Operations Coordinator - Part Time
TEN (Transportation Equipment Network)
Mississauga, ON
- Part-time
Provide information about rental items, such as availability, operation or description of trailers to customers/sales/operations team through review of the STAT and RES reports, checking…
Added 1 hour ago
TC
Operations Coordinator - Part Time
TEN Canada
Mississauga, ON
- Part-time
Provide information about rental items, such as availability, operation or description of trailers to customers/sales/operations team through review of the STAT and RES reports, checking…
Added 1 hour ago
V|
Administrative Assistant (6:30am-3pm)
Veolia | Water Tech
AB · Edmonton, AB
- Full-time
The Administrative Assistant serves as the primary coordinator for end-to-end order management, ensuring seamless execution from initial order entry through final delivery. This role acts…

Raymond James

Branch Compliance Supervisor

Ottawa, ON, Canada
Montreal, QC, Canada

Full-time

Apply About employer

Applications open in a new tab.

Job details

Job type: Full-time
Posting language: English
Posted: Nov 9, 2026

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.

Branch Compliance Supervisor

How does the role impact the organization?

The Branch Compliance Supervisor will be responsible for monitoring retail account activity for compliance with governing regulations as well as internal policies and procedures. The Branch Compliance Supervisor will also provide regulatory guidance and support to Financial Advisors and requires strong relationship management skills.

What will your role be responsible for?

Conduct Tier 1 daily and monthly reviews of transactions in accordance with Canadian Investment Regulatory Organization (CIRO) minimum standards and RJL policies and procedures;
Identify and resolve or escalate any areas of non-compliance;
Review and approve client account applications and updates to account applications; approve advertisements, sales literature and correspondence;
Maintain working knowledge of industry regulations and RJL policies and procedures;
Fulfill CIRO Continuing Education requirements;
Provide back-up coverage for other Branch Compliance Supervisors; and
Contribute to internal department initiatives and other projects, as requested.

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:

Knowledge of:

Fundamental investment concepts, practices, and procedures used in the securities industry;
Regulatory AML/ATF compliance, risk management disciplines and best practices; and
Dataphile, Risk & Compliance Intelligence Platform, FactSet, and Market Q are highly desirable.

Skills in:

Client service and relationship management;
Analytical thinking and critical reasoning;
Attention to detail;
Microsoft Office with focus on Excel, Macros and VBAs, highly desired;
Microsoft Power BI, Power Query, Power Apps and Power Automate, highly desired; and
SQL and ability to work with databases, highly desired.

Ability to:

Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail;
Demonstrate advanced face-to-face, email, videoconferencing and phone etiquette as well as relationship management skills;
Exercise tact and discretion in the handling of confidential information; and
Bilingual in English and French (spoken and written) is required.

Educational/Previous Experience Requirements & Licenses/Certifications

5 years experience at a broker dealer in a Compliance function, including two years of relevant experience working for a Dealer Member or such equivalent experience as may be acceptable to CIRO;
The proficiency requirements necessary for registration as a CIRO Supervisor with options.

Under the legacy system this would, broadly, include:

Canadian Securities Course (CSC),
Conduct and Practices Handbook Course (CPH),
Options Licensing Course (OLC) and Derivatives Fundamentals Course (DFC), or Derivatives Fundamentals and Options Licensing (DFOL),
Investment Dealer Supervisors Course (IDSC), and
Options Supervisors Course (OPSC).

Under CIRO’s new proficiency requirements, this includes:

Canadian Investment Regulatory Exam (CIRE)
Retail Securities Exam (RSE)
Derivatives Exam
Supervisor Exam
Experience with complex products including non-brokered private placements, leveraged ETFs, principal protected notes, hedge funds, segregated funds and illiquid securities.

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: $95,000 - 110,000 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

The Branch Compliance Supervisor monitors retail account activity to ensure adherence to regulatory standards and internal policies. They also provide regulatory guidance to Financial Advisors and review client account applications and marketing materials.

Requirements

Candidates must have at least 5 years of experience in a broker-dealer compliance function and hold relevant industry certifications such as the CSC, CPH, and CIRO supervisor requirements. Proficiency in English and French is required, along with strong technical skills in data analysis and database management.

Skills

Compliance monitoring
Regulatory guidance
Relationship management
Analytical thinking
Critical reasoning
Attention to detail
Microsoft Excel
Macros
VBA
Microsoft Power BI
Power Query
Power Apps
Power Automate
SQL
Database management
Bilingualism

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

Compliance
CIRO
Investment
Wealth management
Dataphile
Risk management
FactSet
Market Q
AML
ATF
Securities industry
CSC
CPH
OLC
DFC
IDSC
OPSC
CIRE
RSE
Private placements
Leveraged ETFs
Hedge funds
Segregated funds
Illiquid securities
Broker dealer

Report this job