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 Associate/Officer
How does the role impact the organization?
RJL is seeking a Compliance Associate/Officer for its subsidiary company Raymond James (USA) Ltd. (RJLU). The role will be based out of Montreal, 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 with Financial Industry Regulatory Authority (FINRA) as a Broker-Dealer. In Canada, RJLU operates under Exemptive Relief orders from the British Columbia and Ontario securities commissions.
Reporting to the Manager, RJLU Compliance, the Compliance Associate/Officer will be responsible for the regulatory and administrative tasks encompassing both the Institutional and Private Client Group lines of business.
This position requires background in compliance processes, with knowledge of FINRA/SEC rules and regulations to proactively build and support a strong regulatory control framework. The position interfaces with advisors, sales assistants, transfer agents, the firm’s custodian as well as RJLU’s home office staff, management and executive in addition to Legal and Finance.
What will your role be responsible for?
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?
To qualify for this opportunity you possess:
Knowledge of
Skill in
Ability to
Educational & Previous Experience Requirements
We encourage our associates at all levels to:
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.
Salary Range: BC (based on Education, Work Experience, etc) $60,000-75,000 in addition to competitive performance bonuses/incentives.
Job
Auditing & Compliance
Primary Location
CA-ON-Toronto-Toronto
Other Locations
CA-BC-Vancouver-Vancouver, CA-QC-Montreal-Montréal
Organization
Compliance
Schedule
Full-time
Status
Permanent Full-Time
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