United Kingdom · On-site
Job Title: Compliance Monitoring and Surveillance Officer Job Summary: The Compliance Monitoring & Surveillance Officer is responsible for the execution and enhancement of the firm’s Compliance Monitoring Programme (CMP)…
Skills: Compliance Monitoring, Trade Surveillance, Market Abuse Regulation, MiFID II, FCA Handbook
United Kingdom · On-site
Job Title: Compliance Monitoring and Surveillance Officer Job Summary: The Compliance Monitoring & Surveillance Officer is responsible for the execution and enhancement of the firm’s Compliance Monitoring Programme (CMP)…
Skills: Compliance Monitoring, Trade Surveillance, Market Abuse Regulation (MAR), MiFID II, FCA Handbook
Vancouver, British Columbia, Canada · Hybrid
$60k–$65k/yr
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 t…
Skills: Trade Execution, Portfolio Management, Foreign Exchange Calculation, Account Rebalancing, Quality Control
Toronto, Ontario, Canada · On-site
$50k–$60k/yr
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 t…
Skills: Financial Modelling, Accounting Principles, Financial Analysis, Equity Research, Writing Skills
Vancouver, British Columbia, Canada · Hybrid
$125k–$140k/yr
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 t…
Skills: AI Strategy, AI Adoption, Prompt Engineering, Change Management, Business Analysis
Vancouver, British Columbia, Canada · On-site
$50k–$60k/yr
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 t…
Skills: Financial Modelling, Accounting Principles, Financial Analysis, Equity Research, Writing Skills
Winnipeg, Manitoba, Canada · On-site
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 t…
Skills: Practice Management, Compliance Monitoring, Recruitment, Employee Relations, Budget Preparation
Vancouver, British Columbia, Canada · Hybrid
. Join Our Team: Financial Advisor / Associate Financial Advisor LT Wealth Management Partners Hybrid / Remote | We welcome applications from candidates in the Lower Mainland or Okanagan, BC At LT Wealth, we believe you …
Skills: Wealth Management, Financial Planning, Client Relationship Management, Private Banking, Communication
Langley, British Columbia, Canada · On-site
$55k–$65k/yr
Raymond James Independent Financial Services seeking a full-time Customer Service Assistant to work in our Langley office. Raymond James Ltd. is one of Canada’s leading full-service independent investment dealers offerin…
Skills: Client Service, Administrative Support, Trade Execution, CRM Management, Time Management
Vancouver, British Columbia, Canada · On-site
$60k–$75k/yr
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 t…
Skills: Accounts Payable, Financial Reporting, Regulatory Reporting, Financial Analysis, Excel
Vancouver, British Columbia, Canada · Hybrid
$110k–$130k/yr
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 t…
Skills: Organizational Change Management, Stakeholder Analysis, Impact Assessment, Change Strategy, Communication Planning
Germany · On-site
Role Title: Investment Banking Associate (Level 1 or 2) Sector: Diversified Industrials Location: Munich or Frankfurt Salary: Competitive Job Summary Plays an integral role in the Investment Banking department's activiti…
Skills: Financial Modelling, M&A Execution, Valuations, Financial Statement Analysis, Industry Analysis
Germany · On-site
Role Title: Investment Banking Associate (Level 1 or 2) Sector: Diversified Industrials Location: Munich or Frankfurt Salary: Competitive Job Summary Plays an integral role in the Investment Banking department's activiti…
Skills: Financial Modelling, M&A Execution, Valuations, Financial Statement Analysis, Industry Analysis
United Kingdom · On-site
Title: Sales Trading & Executive Assistant Start Date: ASAP Location: London, office based Department: Equity Capital Markets Reporting line: Managing Director, Institutional Equity Sales Job Description: This role combi…
Skills: Microsoft Word, Microsoft Excel, Microsoft PowerPoint, CRM Management, Client Onboarding
United Kingdom · On-site
Title: Sales Trading & Executive Assistant Start Date: ASAP Location: London, office based Department: Equity Capital Markets Reporting line: Managing Director, Institutional Equity Sales Job Description: This role combi…
Skills: Microsoft Word, Microsoft Excel, Microsoft PowerPoint, CRM Management, Client Onboarding
Saskatoon, Saskatchewan, Canada · Hybrid
$85k–$95k/yr
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 t…
Skills: Tax Preparation, Financial Planning, T1 Tax Returns, T3 Tax Returns, T2 Tax Returns
Vancouver, British Columbia, Canada · Hybrid
$50k–$60k/yr
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 t…
Skills: Time Management, Attention To Detail, Customer Service, Organization, Prioritization
Vancouver, British Columbia, Canada · Hybrid
$50k–$60k/yr
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 t…
Skills: Mutual Funds Administration, FundSERV, Dataphile, Time Management, Attention To Detail
Vancouver, British Columbia, Canada · Hybrid
$60k–$70k/yr
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 t…
Skills: Instructional Design, Training Needs Assessment, Curriculum Development, Adult Learning Principles, E-learning Development
Vancouver, British Columbia, Canada · Hybrid
$60k–$70k/yr
Raymond James Ltée est le chef de file canadien des courtiers en valeurs mobilières indépendants qui offrent des produits et des services de placement de grande qualité aux Canadiens qui recherchent des solutions personn…
Skills: Instructional Design, Adult Education, Training Delivery, Needs Assessment, Curriculum Development
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The officer is responsible for executing the Compliance Monitoring Programme and conducting surveillance on trading activity and communications to prevent market abuse. They will identify regulatory risks, document findings, and collaborate with Front Office and Risk teams to ensure adherence to FCA rules.
Requires 5 to 7 years of experience in compliance monitoring or market surveillance within an FCA-regulated firm, specifically covering equities and fixed income. Candidates must possess deep knowledge of MAR, MiFID II, and the FCA Handbook.
Job Title: Compliance Monitoring and Surveillance Officer
Job Summary: The Compliance Monitoring & Surveillance Officer is responsible for the execution and enhancement of the firm’s Compliance Monitoring Programme (CMP), alongside ongoing thematic surveillance e.g. written / voice communications, best execution etc. The role supports the firm in meeting its regulatory obligations under FCA rules and ensures that risks associated with equity and fixed income sales and trading activities are effectively identified, assessed, monitored, and reported. The successful candidate will work closely with Front Office, Risk, and Operations teams to promote a strong compliance culture and ensure adherence to applicable regulatory requirements, including MAR, MiFID II, and FCA Handbook rules.
Primary Duties & Responsibilities:
Compliance Monitoring Plan (CMP)
· Maintain, enhance and execute a risk-based Compliance Monitoring Plan covering equity and fixed income sales and trading activities.
· Conduct thematic and periodic reviews across key risk areas (e.g., best execution, market conduct, client categorisation, inducements, conflicts of interest).
· Document findings, assess root causes, and track remediation actions to completion.
· Regularly review and update the CMP to reflect regulatory developments and business changes.
· Update and enhance Compliance policies and procedures where monitoring outcomes identify a need for enhancements, ensuring alignment with FCA requirements and industry best practices.
· Ensure relevant action is taken where training needs are identified during or as a result of the monitoring
Trade & Communications Surveillance
· Perform ongoing surveillance of trading activity to identify potential market abuse (e.g., insider dealing, market manipulation) in line with Market Abuse Regulation (MAR).
· Monitor electronic communications (emails, chats, voice where applicable) to detect inappropriate conduct or breaches of internal policies.
· Investigate alerts generated from surveillance systems and escalate issues where necessary.
· Calibrate and enhance surveillance scenarios and thresholds to improve effectiveness and reduce false positives.
Monitoring & Testing
· Conduct control testing to assess the effectiveness of compliance controls within the Front Office and related functions.
· Perform sample-based reviews of trades, client interactions, and transaction reporting to ensure regulatory compliance.
· Assess adherence to policies such as personal account dealing, gifts & entertainment, and information barriers.
Regulatory Reporting & MI
· Prepare clear, concise compliance monitoring reports for senior management and relevant governance committees.
· Produce management information (MI) and trend analysis to identify emerging risks and areas of concern.
· Support regulatory reporting obligations and assist with FCA queries, thematic reviews, and inspections.
Advisory & Stakeholder Engagement
· Provide compliance guidance to equity and fixed income sales and trading teams on regulatory requirements and internal policies.
· Partner with Front Office to embed a strong conduct and compliance culture.
· Deliver training on surveillance, market conduct, and regulatory expectations.
Other Duties and Responsibilities:
· Production of Best Execution and TCA reports using Liquid Metrix
· Maintenance and update of departmental procedures relevant to the above tasks
· Perform other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
· Proven experience in a Compliance Monitoring, Surveillance, or Market Conduct role within an FCA-regulated firm.
· Demonstrable knowledge of financial instruments, particularly equities and fixed income
· Strong knowledge of relevant regulations including but not limited to Market Abuse Regulation (MAR); MiFID II / MiFIR; and FCA Handbook (e.g., SYSC, COBS)
· Demonstrable experience covering equity and fixed income products in an institutional sales and trading environment.
· Familiarity with surveillance systems and alert handling processes.
· Strong analytical and investigative skills with attention to detail.
· Ability to communicate effectively with senior stakeholders and Front Office personnel.
· Experience in drafting reports and presenting findings to management.
· Confidence in collaborating with and providing effective challenge to first line
· Ability to research, interpret and translate regulatory rules and regulations into policy.
· Strong communication skills
· Strong systems and analytical skills
Ability to:
· Work as part of a team
· Produce accurate work with strong attention to detail
· Partner with other functional areas to accomplish objectives.
· Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
· Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organisational levels.
· Work independently as well as collaboratively within a team environment.
· Understand,and comply with confidentiality requirements at all times.
Experience Requirements:
· Minimum of five to seven years’ experience in a compliance monitoring/market surveillance role within the financial services industry with exposure to equities and fixed income products.
Working Conditions:
· Hours: Normal business hours. Some additional hours may be required.
Power of Personal
Raymond James Ltd. is the Canadian subsidiary of Raymond James Financial, Inc., one of North America’s leading independent financial services firms. Established in 1962, our parent firm became publicly traded in 1983 and is listed on the New York Stock Exchange under the ticker symbol RJF. Operating in Canada since 2001, Raymond James Ltd.’s roots extend back more than 170 years through predecessor firms that helped shape Canada’s financial landscape. In 2016, the combination of Raymond James Ltd. and 3Macs (MacDougall, MacDougall & MacTier Inc.), founded in 1849, further strengthened our private client business and helped establish Raymond James as Canada’s largest independent investment dealer. Today, we are a proudly Canadian firm providing personalized wealth solutions to individuals, families and institutions nationwide. Our client‑first philosophy is guided by four core values: putting clients first, acting with integrity, thinking long‑term and valuing independence. Our vision—to be a firm as unique as the people we serve—shapes our culture, our partnerships and how we support advisors and associates. We believe diverse perspectives, meaningful relationships and a culture of independence drive better outcomes for clients and communities alike. Raymond James Ltd. is a member of the Canadian Investor Protection Fund (CIPF).
Offices: 40 King Street west. P.O. Box 415, Toronto, ON M5H 3Y2, CA · Cathedral Place, Vancouver, BC V6C 3L2, CA
Power of Personal
Raymond James Ltd. is the Canadian subsidiary of Raymond James Financial, Inc., one of North America’s leading independent financial services firms. Established in 1962, our parent firm became publicly traded in 1983 and is listed on the New York Stock Exchange under the ticker symbol RJF. Operating in Canada since 2001, Raymond James Ltd.’s roots extend back more than 170 years through predecessor firms that helped shape Canada’s financial landscape. In 2016, the combination of Raymond James Ltd. and 3Macs (MacDougall, MacDougall & MacTier Inc.), founded in 1849, further strengthened our private client business and helped establish Raymond James as Canada’s largest independent investment dealer. Today, we are a proudly Canadian firm providing personalized wealth solutions to individuals, families and institutions nationwide. Our client‑first philosophy is guided by four core values: putting clients first, acting with integrity, thinking long‑term and valuing independence. Our vision—to be a firm as unique as the people we serve—shapes our culture, our partnerships and how we support advisors and associates. We believe diverse perspectives, meaningful relationships and a culture of independence drive better outcomes for clients and communities alike. Raymond James Ltd. is a member of the Canadian Investor Protection Fund (CIPF).
Offices: 40 King Street west. P.O. Box 415, Toronto, ON M5H 3Y2, CA · Cathedral Place, Vancouver, BC V6C 3L2, CA
