Manager, RJLU Compliance Reporting to the Chief Compliance Officer (CCO) of Raymond James (USA) Ltd. (RJLU), the Manager is responsible for all aspects of compliance oversight under FINRA, SEC, and U.S. state securities authorities. The Manager collaborates with the CCO to manage RJLU’s compliance program to meet regulatory obligations. The Manager will support U.S. retail and institutional compliance, work closely with compliance and legal teams, provide regulatory guidance to financial advisors and ECM teams, lead a small compliance team, and maintain and draft policies and procedures. Responsibilities Navigate laws and regulations such as FINRA rules, the Securities Exchange Act of 1934 (SEA), and the Investment Advisers Act of 1940. Enhance and optimize the retail and ECM Branch Inspections program through collaboration with Canadian and US affiliates and implementation of sweeps. Assist with Rule 15a-6 of the SEA, relating to sales into the US and chaperoning of foreign analysts and bankers. Respond to regulatory Requests for Information and participate in FINRA and SEC examinations and internal audits. Manage customer complaints and internal investigations, engaging legal and dispute resolution teams as required. Engage with US affiliates on marketing content and review processes to provide guidance and ensure alignment. Implement significant regulatory changes and communicate with stakeholders via Compliance Bulletins and Written Supervisory Procedures. Manage day-to-day escalations from the RJLU compliance team and provide advice to compliance and financial advisory teams. Train, coach, and develop direct reports. Knowledge, Skills, and Abilities In-depth knowledge of FINRA and SEC rules and the Investment Advisers Act of 1940. Strong verbal, written, and interpersonal communication skills. Ability to distill regulatory changes into clear messages. Analytical skills to understand compliance processes and ensure effective policy implementation. Capability to establish and maintain effective relationships across the firm. Focus on client best interests, independent work, and attention to detail. Experience and Qualifications Minimum 5 years of financial industry experience, with at least 3 in supervision or compliance. Professional education in a relevant field (MBA, JD, LLB, CFA preferred). At least two years of team management experience. Experience dealing with regulators and auditors. Licenses and Certifications Completed the legacy CSC and CPH with CSI, or the Canadian Investment Regulatory Exam (CIRE) and Retail Securities Exam (RSE). Series 7, 9&10, or 24, and Series 63 examinations, with U.S. registration or willingness to take/re‑take exams if not current. Benefits Flexible workstyles, competitive compensation, health benefits, RRSP matching, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, discretionary bonuses, tuition reimbursement, and more. Salary Range $95,000 - 110,000 annually, plus competitive performance bonuses and incentives. Employment Details Primary Location: Toronto, ON. Other Locations: Vancouver, BC; Calgary, AB. Schedule: Full-time. Status: Permanent Full-Time. Equal Opportunity Employer The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #J-18808-Ljbffr