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Added 4 hours ago
K
Assistant Store Manager - West Edmonton Mall
Knix
AB · Edmonton, AB
- $55,000 to $60,000 CAD / year
- Full-time
As an Assistant Store Manager at Knix, you bring our brand to life through how you lead and connect every day. You have a natural pulse on what our customers want and create a welcoming,…
Added 20 hours ago
Team Lead-Retail
Roots
Vancouver, BC
…the Team Lead provides support and coverage to the Store and Assistant Managers in their absence. They model desired selling and customer service behaviours at all times to promote an…
Added 1 day ago
EF
Pouch Assistant (Floater) - Morning / Eve Shift Flexibility
ePac Flexible Packaging
Mississauga, ON
- Full-time
Support other parts of the operations including press assistant, slitting, and lamination as and when required
Added 1 day ago
D|
Assistant Service Manager | Downtown Chrysler
DAG | Downtown AutoGroup
Toronto, ON
- Full-time
Assistant Service Manager - Elevate Your Career at Downtown Chrysler!
Added 1 day ago
KT
Assistant Manager
Kal Tire
Brandon, MB
- Full-time
Assistant Store Manager I Brandon,MB I Permanent Full-Time
Added 1 day ago
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Assistant Controller
Punt
Vancouver, BC
- $100,000 to $120,000 CAD / year
- Full-time
We’re looking for an Assistant Controller to join our lean Finance team and help build the financial infrastructure behind that growth.
Added 1 day ago
CC
Assistant Route Service Sales Representative
Cintas Canada
Boucherville, QC
- Full-time
Cintas is seeking an Assistant Route Service Sales Representative. Responsibilities include providing route service to a set customer base, through the pick-up and delivery of uniforms and…
Added 1 day ago
LC
Technical Lead Production
Loblaw Companies Limited
Burnaby, BC
- Full-time
Assist with general Pharmacy Assistant duties as required to maintain continuity of operations.
Added 1 day ago
QM
Administrative Assistant, HR & Office Support
Quantum Management Services Ltd.
Toronto, ON
- $38 to $42 CAD / hour
- Full-time
Position: Administrative Assistant, HR & Office Support
Added 1 day ago
QM
Senior Administrative Assistant
Quantum Management Services Ltd.
Toronto, ON
- $65,000 to $70,000 CAD / year
- Full-time
Our client is seeking an Administrative Assistant to join its Construction and Development team in downtown Toronto. Combining financial administration with senior-level team support, this…
Added 1 day ago
RN
Maintenance Millwright-Night Shift
Riverside Natural Foods Ltd. (Home of MadeGood)
Toronto, ON · North York, ON
- Full-time
Provide technical assistant / advice in Preventive Maintenance optimization effort.
Added 1 day ago
M
Shipper Receiver
Multimatic
Newmarket, ON · Multimatic Ride Dynamics
- Full-time
Perform all tasks on time as determined by the Materials supervisor and/or Shipping and receiving supervisor, materials manager, assistant and general managers.
Added 1 day ago
Councillor's Assistant III
CityofOttawa
Ottawa, ON
Added 1 day ago
KT
Assistant Manager
Kal Tire
Whitby, ON
- Full-time
…strategy, and operational excellence can truly shine? Join us as Assistant Manager at Whitby, ON and be at the heart of a dynamic team, driving daily operations, team development, and…
Added 1 day ago
Maintenance Millwright-Night Shift
Riverside Natural Foods Ltd.
Toronto, ON
Provide technical assistant / advice in Preventive Maintenance optimization effort.
Added 1 day ago
U
Marketing Company Storage Clerk
U-Haul
Dollard-Des Ormeaux, QC · Dollard-Des-Orme, Quebec
- Full-time
Coordinate with the Marketing Company President and Executive Assistant on new construction projects.
Added 1 day ago
I
Mécanicien de véhicules récréatifs – Pièces et Service / Recreational Vehicle Mechanic – Vehicle Parts & Service
Ilagiisaq-FCNQ
QC · Nunavik, Québec
- Full-time
supervision of the Assistant Manager – Vehicle Parts & Service, you will be
Added 1 day ago
RJ
Compliance Associate
Raymond James
Vancouver, BC · Toronto, ON
- Full-time
Monitor the Compliance inbox, respond to routine advisor and sales assistant inquiries and escalate complex matters.
Added 1 day ago
Assistant Route Service Sales Representative
Cintas
Boucherville, QC
Cintas is seeking an Assistant Route Service Sales Representative. Responsibilities include providing route service to a set customer base, through the pick-up and delivery of uniforms and…
Added 1 day ago
D
RENTAL ASSISTANT
dd3a5e81-f568-48b6-8563-6e76217e03d1
Acheson, AB
- $40,000 to $60,000 USD / year
…across North America. Through equipment sales, rentals, service, parts, customization, financing, and asset management, we help customers succeed while creating rewarding career…
Added 1 day ago
Industrial Halal Butcher - NOC 94141
Cargill
High River, AB
New, easy-to-apply options are available for this role: chat with our recruiting assistant Ana at careers.cargill.com or text CargillJobs to 60196.
Added 1 day ago
I
Mécanicien – Véhicules/ Mechanic – Vehicles
Ilagiisaq-FCNQ
QC · Nunavik (Kuujjuaq), Quebec
- Full-time
Mettre à jour ses connaissances professionnelles en participant à des formations, en consultant des publications techniques et en assistant aux sessions de formation offertes par la FCNQ;
Added 1 day ago
QM
Adjoint(e) de direction du président - soutien à la haute direction / Executive Assistant
Quantum Management Services Ltd.
Montreal, QC
- $70,000 to $80,000 CAD / year
- Contract
Position: Executive Assistant to the President - C-Suite Support
Added 1 day ago
QM
Administrative Assistant
Quantum Management Services Ltd.
Mississauga, ON
- $27 to $29 CAD / hour
- Temporary
We are looking for an organized and detail-oriented Administrative Assistant to provide day-to-day administrative and clerical support for our government-based client. The ideal candidate…
Added 1 day ago
QM
Administrative assistant
Quantum Management Services Ltd.
Montreal, QC
- Full-time
The Administrative Assistant provides administrative support services while working closely with partners, managers, and professionals to help ensure the smooth operation of the firm.

Raymond James

Compliance Associate

Vancouver, BC, Canada
Toronto, ON, Canada

Full-time

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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.

Apply About employer

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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