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Added 4 hours ago
T
Developing Investment Advisor - Edmonton & Calgary
TD
Calgary, AB
- Full-time
…one-on-one relationship with a dedicated and professional Investment Advisor, while maintaining active participation in decisions regarding their financial…
Added 21 hours ago
B
Operational Technology Cybersecurity Lead
BGIS
Toronto, ON
- Full-time
BGIS is seeking an Operational Technology (OT) Cybersecurity Lead to champion cybersecurity governance, risk management and operational security for client-facing Smart Building and OT…
Added 1 day ago
M
Strategic Account Technology Strategist - Financial Services
Microsoft
Toronto, ON
- Full-time
As a Strategic Account Technology Strategist, you will serve as a trusted technology advisor to senior customer leaders, translating business priorities, industry opportunities, and risk…
Added 1 day ago
Control Centre Project Operations Coordinator
Pembina Pipeline Corporation
Sherwood Park, AB
…and our Life Saving Rules are basic rules. Employees embed physical, psychological, and cyber safety into all work practices while taking personal accountability to maintain compliance,…
Added 1 day ago
PP
Control Centre Project Operations Coordinator
Pembina Pipeline Corporation
Sherwood Park, AB
- Full-time
…and our Life Saving Rules are basic rules. Employees embed physical, psychological, and cyber safety into all work practices while taking personal accountability to maintain compliance,…
Added 1 day ago
E
Advisor, Supply Chain Management Major Projects,
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Calgary, AB · Edmonton, AB
- Full-time
…operational excellence, innovation, and sustainable growth. As an Advisor, Supply Chain Management Major Projects, you will play a key role in supporting our SCM Projects team by ensuring…
Added 2 days ago
SL
Senior Data Engineer
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Toronto, ON · Waterloo, ON · Sun Life Toronto One York
- Full-time
At Sun Life, we're driven by our Purpose: helping our Clients achieve lifetime financial security and live healthier lives. Our values shape how we work: caring, authentic, bold, inspiring,…
Added 2 days ago
A
Senior Manager Data & AI Technical Strategy Lead
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- Full-time
…value, functional and non-functional requirements, delivery risk, security considerations, and total cost of…
Added 2 days ago
RJ
Compliance Associate
Raymond James
Vancouver, BC · Toronto, ON
- Full-time
Assist with physical security legend removals and related processing and tracking.
Added 2 days ago
B
Personal Insurance Advisor
BrokerLink
Rockland, ON
- Full-time
- Multiple benefits offered to support physical and mental wellbeing, Wellness account and much more
Added 2 days ago
IF
Manager, Business Operations - Alberta
iA Financial Group
Calgary, AB · AB
- Full-time
…support our independent insurance advisors in providing financial security and peace of mind to their clients: Canadian families and…
Added 2 days ago
AN
Clinical Support Paramedic (CSP) - 202600451, 452, 453, 454
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Moncton, NB
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Added 2 days ago
S
Corporate Security Officer (CSO) , Canada
Saab
Ottawa, ON
- Full-time
You will be responsible for establishing and maintaining a comprehensive security program covering personnel, physical, information, and industrial security, as well as crisis management…
Added 2 days ago
EI
Brand Protection Advisor (Hospitality and Hotels)
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Montreal, QC · Quebec, QC
- Full-time
Ecolab is seeking a Brand Protection Advisor (Hospitality and Hotels) to join its EcoSure division, an industry leader in brand protection programs, to drive operational excellence and help…
Added 2 days ago
EI
Brand Protection Advisor (Hospitality and Hotels)
Ecolab Inc.
Montreal, QC · Quebec, QC
- Full-time
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Added 2 days ago
TS
Safety Advisor
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Calgary, AB
- Full-time
TSG STAFFING SERVICES is currently recruiting a SAFETY ADVISOR for a contract opportunity in the Greater Medicine Hat Area in an Operating Plant environment.
Added 2 days ago
IF
Senior Customer Experience Consultant- Claims
Intact FC
Montreal, QC · Quebec, QC · Laval, QC · Saint-Hyacinthe, QC
- Full-time
Multiple benefits offered to support physical and mental wellbeing, including telemedicine, Wellness account and much more
Added 2 days ago
T
Developing Investment Advisor
TD
Kelowna, BC
- Full-time
…one-on-one relationship with a dedicated and professional Investment Advisor, while maintaining active participation in decisions regarding their financial…
Added 3 days ago
T
Developing Investment Advisor
TD
Vancouver, BC
- Full-time
…one-on-one relationship with a dedicated and professional Investment Advisor, while maintaining active participation in decisions regarding their financial…
Added 3 days ago
NR
Supervisor Building Services
Niagara Region
ON · Niagara, ON
- Full-time
…and provision of support to the operations and maintenance of physical assets across all long-term care homes and for the emergency preparedness system across all sites in line with…
Added 3 days ago
IF
Principal, Software Engineering – Shared Services
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Toronto, ON
- Full-time
Serve as a trusted technical advisor to senior technology leaders, architects, and engineering leaders on high-risk or novel decisions.
Added 3 days ago
HH
Emergency Preparedness Advisor
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Oakville, ON
- Full-time
The Emergency Preparedness Advisor is responsible for the development, maintenance and testing of the Hospital’s emergency management program across all hospitals and off-site locations. In…
Added 3 days ago
EHS Advisor
Aecon
Cambridge, ON
Ensure you and your family receive the services and benefits needed to support your mental, emotional, and physical well-being.
Added 3 days ago
M
Cloud Solution Architect - Security
Microsoft
Ottawa, ON
- Full-time
You will drive positive Customer Satisfaction and become a trusted advisor as well as provide feedback and insights from customers/partners and be the Voice of Customer to share insights…
Added 4 days ago
D
Security Advisor
Desjardins
Montreal, QC · Levis, QC · Trois-Rivières, QC · Complexe Desjardins Montréal
- Full-time
As a security advisor, you help develop and optimize security measures to align with corporate objectives by planning, implementing and overseeing best practices to strengthen Desjardins's…

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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