Compliance Officer

Raymond James•Toronto, ON

1d•CA$65,000 - CA$82,000•Hybrid

About The Position

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. 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.

Requirements

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

Nice To Haves

Options experience is preferred
Have successfully completed Options Licensing, Options Supervisors Courses or other CSI Courses (are definite assets)
Possess legal and/or privacy diplomas (are an asset)

Responsibilities

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
Execute other duties relevant to CIRO Tier 2 supervisory role