Raymond James Ltd. is seeking a Senior Compliance Officer in Canada to monitor retail account activity, oversee discretionary portfolio programs, and ensure regulatory adherence across multiple programs. You will support the Compliance Help Desk and act as a senior advisor to branches and portfolio managers.
Responsibilities include supervising trade reviews, NAV reviews for pooled funds, risk assessments, audits, and development of policies. A CIM or CIRO pathway is encouraged.
#J-18808-Ljbffr
Senior Compliance Officer – Investments & Regulatory Oversight in Toronto employer: Raymond James Ltd.
Raymond James Ltd. is an exceptional employer that prioritizes the growth and well-being of its employees, offering a dynamic work environment in the heart of Canada’s financial sector. With a strong commitment to professional development, flexible workstyles, and a comprehensive benefits package, including RRSP matching and tuition reimbursement, the company fosters a culture of collaboration and innovation. Employees are empowered to drive change and contribute to meaningful projects, making it an ideal place for those seeking a rewarding career in wealth management.
