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Added 42 mins ago
GD
GARAGE - Assistant Manager - Toronto Eaton Centre
Groupe Dynamite
Toronto, ON
- Full-time
Reporting to the Store Manager, your main focus as the Assistant Manager is to assist the Store Manager in all aspects of the store operations, by providing leadership that optimizes sales…
Added 42 mins ago
LC
Front Store Manager, Salaried Full Time Flexible Shifts
Loblaw Companies Limited
Vaughan, ON
- Full-time
Acting as consultants, supporting internal customers and the Associate-Owners, you will get experience unique to the retail industry while working for an award-winning national brand.…
Added 44 mins ago
EL
Key Holder - Le Labo - Full Time - Vancouver, BC
Estée Lauder Companies
Vancouver, BC
- Full-time
…$29.15. Exact hourly rate depends on several factors such as experience, skills, education, and budget. Hourly range may vary based on geographic location. In addition to base salary, this…
Added 1 hour ago
AC
Front Line Manager - Auto Claims
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- Full-time
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Added 2 hours ago
People & Recruitment Partner
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Identify employee and manager issues that require escalation and partner with the VP, People & Culture on more complex, sensitive, or higher-risk matters.
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O&
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Our Senior Cooks are cooks which have gained considerable experience working in fine dining kitchens. They are very organized and comfortable working in a high-pressure environment. The Sr…
Added 2 hours ago
GE
Blaze Bar & Grill Host
Grey Eagle Resort & Casino
Calgary, AB
- Full-time
…will be the first contact that our customers will have with an employee. All necessary precautions are required to ensure the safety and health of customers and ensure that safe work…
Added 2 hours ago
GE
Stage Bar Host
Grey Eagle Resort & Casino
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- Full-time
…will be the first contact that our customers will have with an employee. All necessary precautions are required to ensure the safety and health of customers and ensure that safe work…
Added 2 hours ago
GE
Buffet Host
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Calgary, AB
- Full-time
…will be the first contact that our customers will have with an employee. All necessary precautions are required to ensure the safety and health of customers and ensure that safe work…
Added 2 hours ago
O
People & Recruitment Partner
Orennia
Calgary, AB
- Full-time
Identify employee and manager issues that require escalation and partner with the VP, People & Culture on more complex, sensitive, or higher-risk matters.
Added 2 hours ago
L
Assistant Manager, Operations | Tanger Outlet
lululemon
Ottawa, ON
- Internship
The Assistant Manager, Operations role is an essential part of the store leadership team and is responsible for making sure our retail business runs smoothly and successfully. Assistant…
Added 3 hours ago
LV
JUNIOR ASSISTANT MANAGER-EN
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- Full-time
You have previous team management experience in a retail environment;
Added 3 hours ago
D-
Senior Tax Manager, Property Tax
DMA - DuCharme, McMillen & Associates, Inc.
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Employee stock ownership program eligibility begins day one of employment. ESOP contribution is targeted at 6% of your annual compensation.
Added 3 hours ago
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Registered Veterinary Technician (RVT)
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- Part-time
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Added 3 hours ago
Host/Hostess - Turtle Jack's
Days Hospitality Limited Careers
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…this location will also create and deliver a local breakfast program that exceeds Hilton standards as well as service any food and beverage requirements for our meeting…
Added 4 hours ago
SD
Front Store Manager, Salaried Full Time Flexible Shifts
Shoppers Drug Mart
Pickering, ON
- Full-time
Acting as consultants, supporting internal customers and the Associate-Owners, you will get experience unique to the retail industry while working for an award-winning national brand.…
Added 4 hours ago
SD
Front Store Manager, Salaried Full Time Flexible Shifts
Shoppers Drug Mart
Pickering, ON
- Full-time
Acting as consultants, supporting internal customers and the Associate-Owners, you will get experience unique to the retail industry while working for an award-winning national brand.…
Added 4 hours ago
CA
Sales Manager - Crown Mazda
Crown Auto Group
Winnipeg, MB
- Full-time
We are currently seeking an experienced and motivated Sales & Finance Manager to join our leadership team at Crown Mazda. This role combines automotive sales leadership with finance and…
Added 4 hours ago
NB
Director Commercial Banking
National Bank of Canada
London, ON
- Full-time
Our dynamic work environments and cutting-edge collaboration tools foster a positive employee experience. We value employees’ ideas. Whether through our surveys or programs, regular…
Added 4 hours ago
NB
Wealth Associate
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AB · Edmonton, AB
- Full-time
…400,000 clients in about 100 branches. Reporting to the regional manager, you will team up with a wealth advisor to offer an exceptional client experience. Collaboration and partnership…
Added 4 hours ago
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Senior Credit Analyst
National Bank of Canada
Montreal, QC
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Our dynamic work environments and cutting-edge collaboration tools foster a positive employee experience. We value employees’ ideas. Whether through our surveys or programs, regular…
Added 4 hours ago
NB
Senior Account Manager Restructuring
National Bank of Canada
Montreal, QC
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A career as a Senior Account Manager, Restructuring in the Commercial High Risk Loan Management Unit at National Bank means acting as a restructuring expert in the management of a…
Added 4 hours ago
NB
Wealth Associate
National Bank of Canada
Calgary, AB
- Full-time
…400,000 clients in about 100 branches. Reporting to the regional manager, you will team up with a wealth advisor to offer an exceptional client experience. Collaboration and partnership…
Added 4 hours ago
NB
Senior Architect – Cloud & Network Platforms
National Bank of Canada
Montreal, QC
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Our dynamic work environments and cutting-edge collaboration tools foster a positive employee experience. We value employees’ ideas. Whether through our surveys or programs, regular…
Added 4 hours ago
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Account Manager, Agriculture
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Raymond James

Compliance Officer

Vancouver, BC, Canada
Toronto, ON, Canada

Full-time

Apply About employer

Applications open in a new tab.

Job details

Job type: Full-time
Posting language: English
Posted: Oct 18, 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.

Compliance Officer

How does the role impact the organization?

Reporting to the Manager, Compliance, you will be primarily responsible for trade approvals, monthly account reviews and social media management. You will also be responsible for contacting sales staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations. In addition, you will play an active role in staffing the department’s "help desk" as a compliance resource person.

What will your role be responsible for?

Monitor and approve trades in restricted securities and/or accounts;
Respond to requests from branches on various compliance issues;
Act as the primary contact person for questions pertaining to New Accounts and the restriction of document deficient accounts;
Approve trade corrections and various trade review escalations;
Conduct email and social media supervision;
Provide support as required on various compliance projects; and
Execute other duties relevant to CIRO Tier 2 supervisory role.

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?

Possess compliance or related branch/operations within the securities industries;
Have successfully completed the Canadian Securities and the Conduct and Practices Handbook courses or agree to complete the courses within one year;
Be proficient with MS Office (focusing on Word, Excel and Outlook) and Dataphile;
Have a superior oral and written communication skills;
Have a well-developed and proven customer service and interpersonal skills;
Be a strong multi-tasker and have the ability to work under pressure;
Perform well independently and with a team;
Have successfully completed Branch Manager, Options Licensing, Options Supervisors Courses or other CSI Courses (are definite assets);
Possess legal and/or privacy diplomas (are an asset); and
Bilingualism (French and English) is an asset.

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: $72,000 - 85,000 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 Officer is responsible for monitoring and approving trades, conducting account reviews, and managing social media compliance. They also act as a help desk resource to provide guidance on firm policies and industry regulations.

Requirements

Candidates should have experience in compliance or branch operations within the securities industry and proficiency in MS Office and Dataphile. Completion of Canadian Securities and Conduct and Practices Handbook courses is required or must be obtained within one year.

Skills

Compliance
Trade approvals
Account reviews
Social media management
Regulatory compliance
MS Office
Word
Excel
Outlook
Dataphile
Communication skills
Customer service
Interpersonal skills
Multi-tasking
Problem solving

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 industry
Trade supervision
CIRO
Canadian Securities Course
Conduct and Practices Handbook
Dataphile
Wealth management
Regulatory reporting
Risk management
Branch operations
Account monitoring
Policy enforcement
Help desk
Investment dealer

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