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.ResponsibilitiesMonitor 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 restriction of document‑deficient accounts;Approve trade corrections and various trade review escalations;Conduct email and social media supervision;Provide support as required on various compliance projects; andExecute other duties relevant to CIRO Tier 2 supervisory role.QualificationsPossess compliance or related branch/operations within the securities industries;Have successfully completed the Canadian Securities and the Conduct and Practices Handbook courses or agree to complete the courses within one year;Be proficient with MS Office (focusing on Word, Excel and Outlook) and Dataphile;Have superior oral and written communication skills;Have well‑developed customer service and interpersonal skills;Be a strong multi‑tasker and have the ability to work under pressure;Perform well independently and with a team;Options experience is preferred;Have successfully completed Options Licensing, Options Supervisors Courses or other CSI courses (are definite assets); andPossess legal and/or privacy diplomas (are an asset).Benefits 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.Salary Salary Range: $65,000 – 82,000 annually, in addition to competitive performance bonuses/incentives. Actual compensation will be determined based on skills, experience, internal equity, and other job requirements.The Company is an equal‑opportunity employer and makes all employment decisions on the basis of merit and business needs.#J-18808-Ljbffr