Senior Compliance Officer, Product - 12 Month Contract

Raymond James•Montreal, QC

About The Position

Raymond James Ltd. is Canada’s leading full-service independent investment dealer, providing high quality investment products and services to Canadians seeking customized solutions. We are seeking a highly qualified Senior Compliance Officer to join our team. In this role, you will play a critical part in ensuring the firm’s compliance with industry regulations and internal policies. Your key responsibilities include performing day-to-day tasks related to product and security risk, maintaining compliance standards, and supporting departmental reporting, and providing guidance through our compliance help desk.

Requirements

Minimum of 5 years of compliance experience within the securities industry.
Successful completion of the Branch Manager or Investment Dealer Supervisors Course (IDSC) or equivalent, with eligibility for CIRO registration as Supervisor and Registered Representative.
Commitment to completing the Chartered Investment Manager (CIM) designation.
Proficiency in spreadsheets and Dataphile systems.
Strong analytical, communication, and interpersonal skills.
Ability to work independently and collaboratively in a team environment.
Proven customer service skills and the ability to manage multiple priorities under pressure.
Post-secondary diploma or degree

Responsibilities

Execute daily responsibilities related to product and security risk in accordance with internal policies and established frameworks.
Conduct periodic adjustments, override reviews, and assist the Manager or Senior Manager with refinements to risk frameworks, rating logic, and breakpoints.
Provide compliance monitoring for exempt funds, non-brokered private placements, structured notes, broker warrants, and other products, including ad hoc reviews as requested.
Maintain data feeds and manage onboarding processes for new products.
Perform annual and ongoing risk assessments for Separately Managed Accounts (SMAs), Pooled Funds, and other investment products.
Assist the Manager or Senior Manager in preparing reports for management meetings, operating groups, and board presentations.
Support compliance risk assessments, audits, and regulatory examinations.
Contribute to policy and procedure development, regulatory summaries, analytical projects, compliance presentations, and filing requirements with regulatory bodies such as the BCSC and OSC.
Conduct security risk rating analysis and adjustments, Know Your Product (KYP) assessments, and product risk evaluations.
Perform transaction monitoring, option reviews, suitability assessments, and approvals.
Review of Net Asset Value (NAV) calculations, marketing materials, and performance reports to ensure compliance.
Provide support for advice and preapproval requests from Associate Portfolio Managers, Solus Trust, and the Charitable Foundation.
Approve trade corrections, marketing requests, and new account applications.
Respond to inquiries related to risk ratings, product compliance, asset allocation, suitability, KYP, portfolio compliance, performance returns, marketing, new accounts, NAV reviews, and other requests directed to the compliance group.
Provide investigative support for compliance projects and respond to branch inquiries.
Deliver training and guidance to team members, Compliance Officers, branch staff, and associates.
Perform other responsibilities as assigned by the Manager, Senior Manager, or Vice President.