At a Glance
- Tasks: Lead compliance efforts in trading and ensure adherence to regulations.
- Company: Join Raymond James, a reputable firm with a focus on integrity.
- Benefits: Enjoy flexible workstyle and opportunities for professional growth.
- Other info: Collaborative environment with a focus on accountability and excellence.
- Why this job: Make a real impact on compliance culture and trading integrity.
- Qualifications: 5+ years in compliance and strong knowledge of Canadian securities regulations.
The predicted salary is between 135000 - 165000 $ per year.
Drive integrity and compliance in trading at Raymond James as the Vice President of Trading Compliance.
Oversee critical surveillance and compliance functions while enjoying a flexible workstyle within a reputable firm.
You will be a key leader within the Compliance team, focusing on regulatory risk management for the Private Client Group.
Your strong expertise in UMIR will be essential in ensuring all trading practices align with compliance standards and fostering a proactive compliance culture.
Collaborate with advisors and internal teams to enhance compliance mechanisms.
Key
Responsibilities
- Analyze trade surveillance alerts for compliance issues
- Conduct thorough reviews of employee trading activities
- Escalate and investigate non-compliant trading actions
- Advise on UMIR and provide support to advisors
- Prepare detailed compliance performance reports
Requirements
- 5+ years of relevant compliance experience
- Comprehensive knowledge of Canadian securities regulations
- Demonstrated background in compliance review processes
- Strong analytical skills and attention to detail
- Proficiency using Microsoft Office tools
Contribute your expertise to optimize compliance programs at Raymond James, ensuring a culture of integrity and accountability. #J-18808-Ljbffr
VP Trading Compliance Leadership Role in Vancouver employer: Raymond James Financial
Raymond James is an exceptional employer that prioritizes integrity and compliance while offering a flexible workstyle in a supportive environment. As a leader in the Compliance team, you will have ample opportunities for professional growth and collaboration with dedicated advisors, all within a reputable firm known for its commitment to fostering a proactive compliance culture. Join us to make a meaningful impact in trading compliance and enjoy the unique advantages of working in a dynamic and respected financial institution.
