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
Ottawa, Ontario, Canada · Hybrid
$127k–$211k/yr
Payments Canada is at the forefront of the Canadian payment ecosystem. Our purpose is to make payments easier, smarter and safer for all Canadians. Every day we are working diligently to ensure your payments are cleared …
Skills: Compliance management, Risk-based compliance framework, Financial services industry knowledge, Regulatory developments, Leadership
Toronto, Ontario, Canada · On-site
$94k–$156k/yr
Date Posted: 08/11/2026 Req ID: 49806 Faculty/Division: VP-People, Finance & Digital Services Department: University Human Resources Campus: St. George (Downtown Toronto) Existing Vacancy: Yes Description: Under the gene…
Skills: Workplace investigations, Human resources, Case management, Policy interpretation, Labour relations
Toronto, Ontario, Canada · Hybrid
$150k–$245k/yr
EvenUp is on a mission to close the justice gap using technology and AI. We empower personal injury lawyers and victims to get the justice they deserve. Our products enable law firms to secure faster settlements, higher …
Skills: Security operations, Detection engineering, Incident response, SIEM, Python
Toronto, Ontario, Canada · On-site
$80k–$100k/yr
The DMS Group, Division of Tribe Management Inc., is currently seeking a Property Manager to join our team. The Property Manager works under the Director of Commercial and Multi-Residential. The Property Manager will ove…
Skills: Property management, Budget management, Contractor management, Staff supervision, Lease administration
Toronto, Ontario, Canada · On-site
$86k–$160k/yr
Application Deadline: 08/30/2026 Address: 100 King Street West Job Family Group: Wealth Sales & Service Provides high quality sales and service to Trust & Estate clients to deliver an exceptional client experience. Provi…
Skills: Trust administration, Estate planning, Fiduciary law, Relationship management, Risk management
Toronto, Ontario, Canada · Hybrid
$69k–$129k/yr
Application Deadline: 08/21/2026 Address: 33 Dundas Street West Job Family Group: Business Management Supports the business/group leader in the effective implementation, maintenance and administration of first line of de…
Skills: Tax program management, FATCA/CRS compliance, Regulatory reporting, Risk management, Governance
Toronto, Ontario, Canada · Hybrid
We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions,…
Skills: Compliance, Surveillance, Risk management, Regulatory oversight, Electronic communications
Toronto, Ontario, Canada · On-site
$106k–$160k/yr
At FSRA, our vision is to ensure financial safety, fairness, and choice for Ontarians. As a financial services regulator, we’re passionate about protecting consumers. Our principles-based approach means we can quickly an…
Skills: Labour relations, Collective bargaining, Grievance management, Dispute resolution, Strategic leadership
Toronto, Ontario, Canada · On-site
Beacon is building the essential technology infrastructure for the everyday economy: the businesses, organizations, and services that make real life work, and that mainstream tech has largely left behind. We acquire, ope…
Skills: Employment Law, Legal Compliance, HR Policy Development, Litigation Management, Contract Drafting
Toronto, Ontario, Canada · Hybrid
$60k–$70k/yr
Role Summary The Talent Acquisition Coordinator supports the firm’s recruitment function by coordinating and supporting the full recruitment lifecycle for Legal Support and Business Services professionals. Reporting to t…
Skills: Recruitment coordination, Candidate screening, Interview scheduling, HRIS management, Applicant tracking systems
Toronto, Ontario, Canada · On-site
Job Description What is the opportunity? US Regulatory Services is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations and the SEC. The individual in this…
Skills: Regulatory reporting, Data analysis, Fixed income operations, Microsoft excel, Python numpy
Toronto, Ontario, Canada · On-site
$125k–$148k/yr
Job ID: 970 Position Type: Union Permanent Department: Inspection & Enforcement Salary Grade: 9 ($125,384 - $147,503) Job Posting Close Date: 08/24/2026 The Ontario Energy Board is proud to be recognized as one of Greate…
Skills: Inspection, Compliance, Audit, Risk-based methodologies, Regulatory policy
Toronto, Ontario, Canada · Hybrid
$128k–$159k/yr
The Role Reporting to the Director, Financial Applications, the SAP Senior Functional Analyst provides functional leadership, design authority, governance, and continuous improvement for SAP business processes and relate…
Skills: SAP Finance, SAP ECC, SAP S/4HANA, Functional configuration, Business process analysis
Toronto, Ontario, Canada · On-site
$85k–$100k/yr
Job Description McCarthy Tétrault is a leading Canadian law firm offering a full suite of legal and business solutions to clients in Canada and around the world. With offices in Toronto, Montréal, Québec City, Calgary an…
Skills: Full-cycle recruitment, Talent acquisition, Strategic sourcing, Legal support recruitment, Bilingualism
Markham, Ontario, Canada · On-site
$97k–$137k/yr
Work Location: Toronto, Ontario, Canada Hours: 37.5 Line of Business: Financial Crime Risk Management Pay Details: $96,900 - $136,800 CAD TD is committed to providing fair and equitable compensation opportunities to all …
Skills: Financial crime investigation, AML, ATF, Risk assessment, Data analysis
Toronto, Ontario, Canada · On-site
Requisition ID: 270258 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Manager, High-Risk Client Oversight (HRCO) - Toronto, ON The Global AML 2nd line of defense fo…
Skills: AML/ATF operations, Project management, Risk mitigation, Process mapping, Stakeholder management
Toronto, Ontario, Canada · Hybrid
161 Bay Street (93021), Canada, Toronto,Toronto, Ontario, Director, Assistant General Counsel About Capital One Canada For 30 years, we’ve been on a mission to change banking for good. We challenge the traditional bank s…
Skills: Legal advice, Regulatory compliance, Financial services law, Contracting, Privacy law
Toronto, Ontario, Canada · Hybrid
The Opportunity Are you looking for a caring, collaborative, value‑driven workplace with inspiring teammates and leaders? Do you have the ambition to grow, make an impact, and thrive with one of the world’s leading globa…
Skills: Compliance, Complaint handling, Risk assessment, Regulatory compliance, Data privacy
Toronto, Ontario, Canada · On-site
$70k–$75k/yr
Job Description McCarthy Tétrault is a leading Canadian law firm offering a full suite of legal and business solutions to clients in Canada and around the world. With offices in Toronto, Montréal, Québec City, Calgary an…
Skills: Conflict of interest searches, Corporate research, Know your client (KYC), Anti-money laundering (AML), Database 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
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