New Job Compliance Associate In British Columbia

Compliance Associate
Compliance Associate

Compliance Associate

Company : Raymond James Financial
Salary : Details not provided
Location : British Columbia

Full Description

Compliance Associate

  • 2301591

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 Associate

How does the role impact the organization?

Reporting to the Manager, Compliance, you will be primarily responsible for supporting the Private Client Group Compliance team with administrative and regulatory functions. You will be charged with contacting sales staff to implement corrective actions, as well as ensuring compliance with the firm’s policies and procedures as well as industry regulations.

What is the position responsible for?

  • Support the Manager, Compliance with the ongoing compliance functions for private client branch accounts;
  • Manage and coordinate Requests for Information from various regulatory bodies;
  • Monitor trading in securities placed on restriction;
  • Conduct email reviews;
  • Respond to requests from branches on various compliance issues; and
  • Assist in preparing business cases for Estate & Waiver of Probate request.

What can you expect from us?

Our most important investment is in people, 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.

Knowledge of

  • Fundamental investment concepts, practices, and procedures used in the securities industry; and
  • Material covered in the Canadian Securities Course and the Conduct and Practices Handbook programs.

Skill in

  • Microsoft Office with a willingness and ability to learn new applications.
  • Excellent competency in Excel (including macros).

Ability to

  • Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail;
  • Demonstrate advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills;
  • Work independently as well as collaboratively within a team environment;
  • Exercise tact and discretion in the handling of confidential information; and
  • Communicate proficiently in French is an asset.

Educational/Previous Experience Requirements

  • A minimum of 1 year of experience within the securities industry.


  • Successful completion or willingness to complete the Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH) programs.

Raymond James Ltd. recognizes the value of a diverse workforce and appreciates the unique skills and special contribution of each employee. We are committed to accessibility for candidates through all stages of the recruitment process. Should you require accommodation, please contact Human Resources via email at [email protected].

Job Auditing & Compliance
Primary Location CA-BC-Vancouver-Vancouver
Other Locations CA-ON-Toronto-Toronto, CA-QC-Montreal-Montréal
Organization Compliance
Schedule Full-time
Status Permanent Full-Time