Toronto, Ontario, Canada · Hybrid
$72k–$85k/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: Compliance, Trade Approval, Account Review, Social Media Management, Regulatory Compliance
Toronto, Ontario, Canada · On-site
$95k–$105k/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 modeling, Equity research, Corporate finance, Investment analysis, Securities evaluation
Toronto, Ontario, Canada · On-site
$55k–$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: Client Service, Relationship Management, Investment Management, Portfolio Rebalancing, Trade Execution
Kelowna, British Columbia, Canada · Hybrid
$45k–$55k/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: Investment industry knowledge, Customer service, Interpersonal skills, Microsoft Office, Word
Victoria, British Columbia, Canada · Hybrid
$45k–$50k/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: Administrative support, Client service, Microsoft Outlook, Microsoft Word, Microsoft Excel
Germany · On-site
We are looking for interns to support our fast-growing European teams in Munich and Frankfurt. Our off-cycle internships last for a period of 3 months. Please note that we are currently accepting applications for the fol…
Skills: Company research, Market research, Financial analysis, Company valuation, Transaction documentation
Germany · On-site
We are looking for interns to support our fast-growing European teams in Munich and Frankfurt. Our off-cycle internships last for a period of 3 months. Please note that we are currently accepting applications for the fol…
Skills: Company research, Market research, Financial analysis, Company valuation, Transaction documentation
Winnipeg, Manitoba, Canada · Hybrid
$45k–$55k/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: Administrative skills, Time management, Customer service, Problem solving, Scheduling
Toronto, Ontario, Canada · On-site
$95k–$125k/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: Capital markets, Institutional sales, Logistics management, Event coordination, Time management
Germany · On-site
We are looking for interns to support our fast-growing European team in Munich. Please note successful interns will join our Consumer team in Munich. Our off-cycle internships last for a period of 3 months. Please note t…
Skills: Financial analysis, Company valuation, Market research, Transaction documentation, Pitch material creation
Germany · On-site
We are looking for interns to support our fast-growing European team in Munich. Please note successful interns will join our Consumer team in Munich. Our off-cycle internships last for a period of 3 months. Please note t…
Skills: Financial analysis, Company valuation, Market research, Transaction documentation, Pitch material creation
United Kingdom · Hybrid
ROLE SUMMARY As a key member of the HR team, the HR Business Partner will leverage broad, practical experience across the full range of HR disciplines to support business objectives and drive positive people outcomes wit…
Skills: Employee Relations, Talent Acquisition, Performance Management, UK Employment Law, FCA Regulations
United Kingdom · Hybrid
ROLE SUMMARY As a key member of the HR team, the HR Business Partner will leverage broad, practical experience across the full range of HR disciplines to support business objectives and drive positive people outcomes wit…
Skills: Employee Relations, Talent Acquisition, Performance Management, UK Employment Law, FCA Regulations
Vancouver, British Columbia, Canada · Hybrid
$45k–$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: Life insurance processing, Underwriting coordination, Data accuracy, Time management, Problem-solving
Ottawa, Ontario, Canada · On-site
$50k–$55k/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: Administrative Support, Reception, Client Service, Time Management, Multitasking
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: Securities industry compliance, Banking compliance, Finance operations, Dataphile, EDMS
Vancouver, British Columbia, Canada · Hybrid
$45k–$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: Operational support, Administrative support, Compliance reporting, Client correspondence, Project management
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: Learning & Development, Training Strategy, Instructional Design, Change Management, Financial Services
Vancouver, British Columbia, Canada · Hybrid
$75k–$80k/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: Corporate document maintenance, Litigation support, Legal research, Proofreading, Document drafting
Vancouver, British Columbia, Canada · Hybrid
$58k–$62k/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: Registered Plans Administration, Compliance, Customer Service, Microsoft Office, Relationship Management
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The Compliance Officer is responsible for monitoring and approving trades, conducting account reviews, and managing social media compliance. They also act as a help desk resource for branches and ensure adherence to industry regulations and firm policies.
Candidates should have experience in compliance or branch operations within the securities industry and possess strong communication and interpersonal skills. Completion of the Canadian Securities Course and Conduct and Practices Handbook is required or must be obtained within one year.
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 Officer
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.
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?
We encourage our associates at all levels to:
Salary Range: $72,000 - 85,000 annually, in addition to competitive performance bonuses/incentives.
Actual compensation will be determined based on skills, experience, internal equity, and other job requirements.
This posting is for an existing vacancy.
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 [email protected]. 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.
We may use automated or AI-enabled tools to support parts of our recruitment and screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently, but they do not replace human decision-making.
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
