Raymond James Financial
Compliance Officer
Job Description
Compliance Officer ) Raymond James Ltd. is Canada’s leading independent investment dealer offering high‑quality investment products and services to Canadians seeking customized solutions to their wealth management needs.
How does the role impact the organization?
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.
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 r...
How does the role impact the organization?
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.
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 r...