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Compliance Officer, RJLU
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- Full-time
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Raymond James

Compliance Officer, RJLU

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
Experience: Minimum of 2 years of experience in the financial industry, at least 1 specifically in supervision/compliance;
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, RJLU

How does the role impact the organization?

RJL is seeking a Compliance Officer for its subsidiary company Raymond James (USA) Ltd. (RJLU). The role will be based out of either Toronto or Vancouver.

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

Reporting to the Manager, RJLU Compliance, the Compliance Officer will be responsible for supporting all aspects of U.S. retail and institutional compliance for RJLU. This will involve working closely with all RJLU Compliance team members in dispensing advice and providing regulatory guidance to Financial Advisors and Equity Capital Markets (ECM) teams. The Compliance Officer is expected to be registered as a principal and participate in the day-to-day functions carried out by the team, assist in projects resulting from regulatory change and generally support the implementation of the program.

What will your role be responsible for?

Daily, generate exception reports to ensure compliance with various policies and procedures.
Daily, monitor the Compliance inbox for queries from advisors and sales assistants.
Assist in carrying out, tracking and reporting both remote and onsite, retail and ECM, branch inspections.
Assist in investigating, resolving and reporting customer complaints.
Assist in compiling data and information for regulatory requests for information, regulatory exams and internal audits.
Assist in establishing and updating compliance policies, procedures and written supervisory procedures (WSP) to ensure compliance with U.S. laws and regulations.
Assist in developing the Continuing Education program for the Institutional and Private Client Group lines of business.
Support the Manager, RJLU Compliance where needed in daily tasks such as reviewing requests for deposits of low-priced securities and requests for legend removals, among others.
Assist the CCO, and Manager with Ad Hoc tasks and projects.
Attend team and firm meetings.
Travel on an Ad-Hoc basis, if required.
Participate in other tasks, 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

FINRA rules and regulations;
SEC rules and regulations, with a particular focus on requirements set out in the Investment Advisers Act of 1940;
MS Office and excellent proficiency with MS Outlook, Word, Excel and PowerPoint.
Regulatory and compliance processes.
Pershing’s NetX360 system, desired.

Skill in

Organizing, multi-tasking, and prioritizing.
Paying strong attention to detail.
Verbal, written and interpersonal communication; and
Distilling regulatory changes into short, clear messages.

Ability to

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

Educational & Previous Experience Requirements

Minimum of 2 years of experience in the financial industry, at least 1 specifically in supervision/compliance;
Experience working for a U.S. broker-dealer or Canadian cross-border dealer highly desired.
Professional education in relevant fields with graduate training desired, e.g. MBA, JD/LLB, CFA, etc.
Successful completion of FINRA’s Securities Industry Essentials, Series 7 and Series 24 (or other securities principal qualifications) exams, or willingness to complete within a reasonable timeframe.

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: $70,000 - 80,000 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 will support U.S. retail and institutional compliance by providing regulatory guidance and monitoring adherence to policies. They will also assist in branch inspections, complaint investigations, and the preparation of data for regulatory exams and internal audits.

Requirements

Candidates must have at least 2 years of financial industry experience, with at least 1 year specifically in supervision or compliance. Successful completion of FINRA Series 7 and 24 exams is required or must be completed within a reasonable timeframe.

Skills

Compliance
Regulatory Guidance
FINRA Rules
SEC Regulations
Investment Advisers Act of 1940
Exception Reporting
Branch Inspections
Complaint Resolution
Policy Development
Written Supervisory Procedures
Continuing Education
MS Office
NetX360
Communication
Relationship Building
Multi-tasking

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 Officer
FINRA
SEC
Investment Advisers Act
Broker-Dealer
Registered Investment Advisor
Retail Compliance
Institutional Compliance
Equity Capital Markets
Branch Inspections
WSP
NetX360
Series 7
Series 24
Wealth Management
Regulatory Exams
Internal Audits
Financial Advisor Support
Risk Management
Securities Law

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Jobs in Canada