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Added 5 mins ago
LF
Coordinator, Sales
Lysander Funds Limited
Toronto, ON
- Full-time
This role reports to the Vice President, Sales Operations. This is a full-time role working from the Toronto office of Lysander Funds with an expected annual compensation range of $60,000 -…
Added 5 mins ago
TS
Associate, Global Markets Credit – Commodities
TD Securities
Toronto, ON
- Full-time
…with Front Office, Credit Risk Management, Market Risk, Legal, Operations, and other stakeholders to provide timely and effective credit solutions while maintaining a strong risk management…
Added 5 mins ago
T
Operations Manager (Civil/FTTH Construction)
Telecon
Saskatoon, SK
- Full-time
Reporting to the Senior Director of Operations; the Operations Manager is responsible to lead and manage all operations of their region. This includes health and safety, finances, contract…
Added 5 mins ago
IG
Artificial Intelligence Engineer
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Toronto, ON
- $60 to $80 CAD / hour
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Added 5 mins ago
VL
Vendor Manager
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Toronto, ON
- Contract
…portfolio that includes dispatch and courier services, e commerce operations, and personal shopping experience. The organization emphasizes adaptability, sector knowledge, and long-term…
Added 5 mins ago
R
Property Manager
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AB · Edmonton, AB
- Full-time
…who oversees and coordinates the administration, accounting, operations, maintenance, and marketing of an assigned…
Added 5 mins ago
H
eTrading Full Stack Engineering - Network
HSBC
Toronto, ON · Greater Toronto Area, Canada
- $91,600 to $137,300 CAD / year
- Full-time
…faster. You’ll work closely with trading application engineering operations carriers’ exchanges and data center providers to deliver connectivity…
Added 5 mins ago
PI
Lead, Senior Sales Enablement (Director Level)
PICTON Investments
Toronto, ON
- Full-time
…our Retail Sales organization. Reporting under the Revenue Operations team and working closely with Sales Leadership, you will translate commercial priorities into practical programs,…
Added 5 mins ago
IG
Product Owner
Insight Global
Toronto, ON
- Contract
…Product Owner will partner closely with business, technology, operations, and senior executive stakeholders to move initiatives from strategy through execution and benefit…
Added 5 mins ago
T
Financial Controller
T&P
Toronto, ON
- Contract
…agency on a 3-month contract. You’ll lead day-to-day financial operations, oversee the monthly close and reporting process, and support budgeting and forecasting. With strong technical…
Added 5 mins ago
TS
Global Equity Derivatives Operations Analyst II
TD Securities
Toronto, ON
- Full-time
We are looking for an individual to join a high functioning Global Equity Derivatives operations team with the desire to develop innovative and strategic solutions. The candidate should…
Added 5 mins ago
AT
Credit and Collections Specialist
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Moncton, NB
- Full-time
Position Overview: As a Credit & Collections Specialist, you’ll play a key role in managing financial operations, ensuring account accuracy, and driving process improvements. This role goes…
Added 5 mins ago
H
eTrading Engineering Lead
HSBC
Toronto, ON · Greater Toronto Area, Canada
- $111,300 to $166,900 CAD / year
- Full-time
Stakeholder management: Partner with trading business, application engineering, architecture, cyber security, operations, risk, finance, procurement, vendors, exchanges and carriers to…
Added 5 mins ago
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Manager Front End - FreshCo Hamptons
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Calgary, AB
- Full-time
Full knowledge of department operations and skills
Added 5 mins ago
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Service - Superviseur, service
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Montreal, QC
- Full-time
As a service supervisor, you'll provide exceptional customer service while supporting the day-to-day operations at the front of the store. You'll coach and support your team, ensure…
Added 5 mins ago
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Payroll Manager
AMA - Alberta Motor Association
AB · Edmonton, AB
- Full-time
…retail savings, food security to childhood well-being. And with operations that span automotive, registries, travel, insurance and more, the opportunities to grow with us are almost…
Added 11 mins ago
G
Controller/Dispatcher
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Calgary, AB
- Full-time
…calm under pressure, think critically, and coordinate security operations efficiently. Your strong communication, multitasking, and decision-making skills are your greatest…
Added 11 mins ago
ST
Financial Planning Analyst
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Woodbridge, ON
- $60,000 to $90,000 USD / year
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…stakeholders, cost center owners, as well as Group Finance and Operations teams. Grounded in solid data and analytical rigor, the FP&A Analyst will serve as a critical bridge between the…
Added 11 mins ago
BG
Branch Manager
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- Full-time
Manage branch operations to achieve growth and profitability across new and used whole goods sales, parts, and service offerings.
Added 11 mins ago
W
Head of Finance
Winchesters
Toronto, ON
- $200,000 to $250,000 CAD / year
- Full-time
…advisers, this role offers broad responsibility across investment operations, financial reporting, tax, treasury and real estate…
Added 11 mins ago
BF
Revenue Analyst
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- Full-time
Working closely with colleagues across Finance, IT, Security and Operations, you'll investigate unusual transactions, support audits and system testing, and help ensure new revenue streams…
Added 11 mins ago
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Meat - Manager Meat
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Manage store operations and communicate requirements/changes to department employees as required
Added 11 mins ago
H
Accountant
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Cambridge, ON
- Full-time
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Added 16 mins ago
AI
Scale and Transportation Clerk
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- Full-time
Training provided on equipment and recycling operations;
Added 16 mins ago
LC
Regional Pharmacy Director - 15 month contract
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Toronto, ON
- Full-time
Reporting directly to the Senior Director of Pharmacy Operations, Regional Pharmacy Director (Hamilton and Niagara region) monitors and

Raymond James

Compliance Associate

Vancouver, BC, Canada
Toronto, ON, Canada

Full-time

Apply About employer

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Job details

Job type: Full-time
Posting language: English
Posted: Oct 23, 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.

RJLU Compliance Officer

How does the role impact the organization?

Raymond James Ltd. (RJL) is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

RJL is seeking a Compliance Associate for a 12-month contract with its subsidiary company Raymond James (USA) Ltd. (RJLU). The role will be based out of Montreal, Toronto or Vancouver, with an anticipated start date of November 9th, 2026.

RJLU is a cross-border firm registered in the U.S. with the Securities Exchange Commission (SEC) as a Registered Investment Adviser and Broker-Dealer and is a member of Financial Industry Regulatory Authority (FINRA). In Canada, RJLU operates under Exemptive Relief orders from the British Columbia and Ontario securities commissions.

Reporting to the Manager, RJLU Compliance, the Compliance Associate will support routine monitoring, administrative and documentation activities across the Institutional and Private Client Group lines of business. This position requires strong organizational skills, attention to detail and an interest in securities compliance. The position interfaces with advisors, sales assistants, the firm’s custodian, Operations and RJLU home office staff, with training and oversight provided by the Compliance team.

What will your role be responsible for?

Conduct daily trade reviews and review exception reports, documenting and escalating potential issues.
Conduct daily email monitoring and maintain supporting supervisory documentation.
Monitor the Compliance inbox, respond to routine advisor and sales assistant inquiries and escalate complex matters.
Assist with security certificate deposits, including low-priced and restricted securities, and related documentation.
Assist with physical security legend removals and related processing and tracking.
Support administration and tracking of referral agreements.
Maintain logs and records for certificate deposits and other Compliance activities.
Assist with portfolio reviews, including reporting, tracking and follow-up.
Support Prudent Process administration, including documentation reviews, database maintenance and monitoring.
Assist in coordinating continuing education and preparing related materials.
Assist with compliance procedures, recordkeeping and process improvements.
Provide administrative support for examinations, audit remediation and Compliance Edge implementation, as assigned.
Attend team and firm meetings.
Travel on an ad hoc basis, if required.
Participate in other Compliance tasks and projects, as assigned.

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?

Knowledge of

MS Office and excellent proficiency with MS Outlook, Word, Excel and PowerPoint.
Securities operations, including certificate deposits, legend removals and transfers, an asset.
Regulatory and compliance processes, an asset.
Pershing’s NetX360 system, an asset.

Skill in

Organizing, multi-tasking, and prioritizing.
Paying strong attention to detail.

Ability to

Build strong relationships.
Manage competing priorities.
Work on simultaneous projects.
Communicate effectively both verbally and in writing.

Educational & Previous Experience Requirements

Prior securities industry, financial services or compliance experience is an asset.
Experience with a U.S. broker-dealer or Canadian cross-border dealer is an asset, not required.
Successful completion of FINRA’s Securities Industry Essentials (SIE), Series 7 and Series 24 exams highly desired, or willingness to complete within a reasonable timeframe.
Strong customer service and interpersonal skills, with willingness to learn.

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: $55,000 - $65,000 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.

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More about this job

Responsibilities

The Compliance Associate will conduct daily trade and email monitoring while maintaining supervisory documentation and supporting institutional lines of business. The role also involves assisting with security certificate processing, referral agreement administration, and audit remediation tasks.

Requirements

Candidates should possess strong organizational skills and proficiency in MS Office, with prior experience in the securities industry or compliance being an asset. Completion of FINRA exams such as the SIE, Series 7, and Series 24 is highly desired.

Skills

Compliance monitoring
Trade review
Email monitoring
Regulatory reporting
Documentation management
Data analysis
Customer service
Interpersonal skills
Organizational skills
Attention to detail
Multi-tasking
MS Office
MS Outlook
MS Excel
MS Word
MS PowerPoint

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
Securities
Broker-Dealer
FINRA
SEC
Investment Adviser
Trade Review
Email Monitoring
NetX360
Audit Remediation
Regulatory Compliance
Wealth Management
Institutional
Private Client Group
Certificate Deposits
Legend Removal
Referral Agreements
Portfolio Reviews
Continuing Education
Risk Management

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