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Added 5 hours ago
RJ
Compliance Officer
Raymond James
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- Full-time
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…
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Raymond James

Compliance Officer

Toronto, ON, Canada
Vancouver, BC, Canada

Full-time

Apply on raymondjames.taleo.net About employer

Applications open in a new tab.

Job details

Job type: Full-time
Posting language: English
Posted: Nov 11, 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?

Minimum 5 years compliance or related branch/operations experience within the securities industry;
Minimum 2 years of derivatives experience;
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;
Possess legal and/or privacy diplomas (are an asset); and
Bilingualism (French and English) is an asset.

Licenses/Certifications

CIRO IR Licensed (Investment Representative) is required;
CIRO Derivatives Exam is required;
CIRO Supervisors Exam is required; and
Branch Manager Course 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: $78,000 - 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 on raymondjames.taleo.net 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 for branches and ensure adherence to industry regulations and firm policies.

Requirements

Candidates must have at least 5 years of compliance or operations experience in the securities industry and 2 years of derivatives experience. Required certifications include CIRO IR, CIRO Derivatives, and CIRO Supervisors exams.

Skills

Compliance
Trade Approvals
Account Reviews
Social Media Management
Regulatory Compliance
Derivatives
MS Office
Dataphile
Communication Skills
Customer Service
Interpersonal Skills
Multi-tasking
CIRO IR Licensed
CIRO Derivatives Exam
CIRO Supervisors Exam
Branch Manager Course

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 Approvals
Account Reviews
Social Media Supervision
CIRO
Derivatives
Dataphile
MS Office
Branch Operations
Regulatory Compliance
Wealth Management
Investment Dealer
Risk Management
Help Desk
Trade Corrections
Privacy
Legal
Investment Representative
Branch Manager Course

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